Tag: securities_and_exchange_commission

• SEC Small Business Advisory Committee to Reconvene Virtually

  30 Jul 2026 11:11 a.m.

  The SEC's Small Business Capital Formation Advisory Committee will reconvene virtually on August 6, 2026, at 1 p.m. ET. This meeting continues discussions from the July 21 session, accessible via SEC.gov.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionSECSmall Business Capital Formation Advisory CommitteeVirtual MeetingCapital FormationSmall BusinessGovernment

• SEC Report to Congress Details Small Business Capital-Raising Recommendations

  27 Jul 2026 5:12 p.m.

  The SEC released a report to Congress today, summarizing policy recommendations from its 45th Annual Government-Business Forum aimed at improving capital-raising for small businesses.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionSmall Business Capital FormationCapital-Raising PolicyCongressGovernment-Business ForumPolicy RecommendationsFinance

• SEC to Host Roundtable on 24-Hour U.S. Equity Trading

  23 Jul 2026 1:01 p.m.

  The SEC will host a roundtable on September 17 to discuss moving towards 24-hour trading in U.S. equity markets. The event will cover preparations, operations, resiliency, and the opportunities and challenges of expanded market hours.

  BusinessPolitics and Government Securities and Exchange Commission24-hour tradingU.S. equity marketsRoundtableFinancial MarketsMarket OperationsResilience

• SEC Commissioner Peirce Releases Statement on Crypto Vaults and Lending

  22 Jul 2026 10:21 a.m.

  SEC Commissioner Hester M. Peirce has released a statement, "Headstands and Summervaults," offering insights on crypto vaults and lending strategies. The new information is now available from the Securities and Exchange Commission.

  BusinessPolitics and Government Hester M. PeirceSecurities and Exchange CommissionSECCrypto VaultsLending StrategiesCryptocurrencyFinance

• SEC Commissioner Peirce Discusses Small Business Capital Formation

  21 Jul 2026 1:11 p.m.

  The SEC has released remarks by Commissioner Hester M. Peirce to the Small Business Capital Formation Advisory Committee. The remarks, titled "Seeking Public Comment on Seeking Public Capital," address gathering input on improving capital access for small businesses.

  Politics and GovernmentBusinessUSAFederal GovernmentEconomyFinancial MarketsGeneral Politics Securities and Exchange CommissionHester M. PeirceSmall Business Capital Formation Advisory CommitteeCapital FormationPublic CommentFinancial RegulationGovernment

• SEC Chairman Atkins' Remarks on Small Business Capital Formation Now Available

  21 Jul 2026 11:51 a.m.

  SEC Chairman Paul S. Atkins' remarks at the Small Business Capital Formation Advisory Committee Meeting are now available. His speech provides insights into the SEC's views on supporting small enterprises and their access to capital.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial Markets Paul S. AtkinsSecurities and Exchange CommissionSmall Business Capital FormationAdvisory CommitteeCapital MarketsGovernmentFinancial Regulation

• SEC Commissioner Uyeda's Remarks to American-Hellenic Chamber Now Public

  16 Jul 2026 1:21 p.m.

  SEC Commissioner Mark T. Uyeda's remarks before the American-Hellenic Chamber of Commerce are now publicly available. The speech offers insights into financial regulation and is accessible on the SEC's newsroom.

  Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsTrade Securities and Exchange CommissionMark T. UyedaAmerican-Hellenic Chamber of CommerceFinancial RegulationPublic StatementsSECSpeeches

• SEC Commissioner Uyeda Issues Statement on Proposed E-Delivery Regulation

  16 Jul 2026 9:50 a.m.

  SEC Commissioner Mark T. Uyeda has released a statement on the proposed Regulation E-Delivery. The document is now publicly available, offering insights into the regulatory proposal.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaRegulation E-DeliveryFinancial RegulationGovernmentPublic Policy

• Commissioner Peirce Issues Statement on Proposed E-Delivery Regulation

  16 Jul 2026 9:31 a.m.

  SEC Commissioner Hester M. Peirce released her "Paper Taper" statement on the proposed Regulation E-Delivery, offering insights into the electronic delivery of regulatory information.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomy Hester M. PeirceSecurities and Exchange CommissionSECRegulation E-DeliveryElectronic DeliveryFinancial RegulationStatement

• SEC Chairman Atkins Issues Statement on E-Delivery Regulation

  16 Jul 2026 9:01 a.m.

  SEC Chairman Paul S. Atkins has issued a statement on Regulation E-Delivery. The Securities and Exchange Commission announced the availability of this new information, encouraging public review of the details.

  Politics and GovernmentBusinessFederal GovernmentLegalFinancial MarketsEconomy SECPaul S. AtkinsRegulation E-DeliverySecurities and Exchange CommissionFinancial RegulationGovernmentSpeeches and Statements

• SEC Updates Municipal Advisor Registration FAQs for Clarity

  10 Jul 2026 1:22 p.m.

  The SEC's Office of Municipal Securities updated its FAQs for municipal advisor registration and recordkeeping. The revisions offer greater clarity on compliance requirements for financial professionals in the municipal market.

  Politics and GovernmentBusinessFederal GovernmentEconomyLegal Securities and Exchange CommissionOffice of Municipal SecuritiesMunicipal AdvisorsRegistrationRecordkeepingFAQsFinancial Regulations

• SEC Chairman Atkins' Corporate Governance Remarks Released Ahead of 2026 Conference

  9 Jul 2026 11:50 a.m.

  SEC Chairman Paul S. Atkins' remarks for the July 9, 2026, Society for Corporate Governance Conference are now available, offering insights into corporate governance.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegalEconomyEducation Paul S. AtkinsSecurities and Exchange CommissionCorporate GovernanceConferenceSECRemarks2026

• SEC Committee to Discuss Modernizing Public Market Access

  8 Jul 2026 10:41 a.m.

  The SEC's Small Business Capital Formation Advisory Committee will meet on July 21, 2026, to discuss modernizing public market access and encouraging initial public offerings, aiming to enhance capital raising for small businesses.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomyGeneral Politics Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteePublic Market AccessIPOsSmall BusinessCapital FormationFinancial Services

• SEC Establishes New Retail Fraud Working Group

  7 Jul 2026 11:52 a.m.

  The SEC has formed a new Retail Fraud Working Group to bolster the Division of Enforcement's efforts. This group will focus on identifying and combating fraud specifically targeting everyday investors, enhancing protection in financial markets.

  Politics and GovernmentBusinessLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal Securities and Exchange CommissionRetail Fraud Working GroupFraudInvestorsEnforcementFinancial CrimeGovernment

• SEC Chairman Atkins Issues Statement on 2026 Regulatory Agenda

  7 Jul 2026 10:21 a.m.

  SEC Chairman Paul S. Atkins has released a statement detailing the 2026 Regulatory Agenda. The Securities and Exchange Commission announced the new information is now available to the public.

  BusinessPolitics and GovernmentUSA SECPaul S. AtkinsRegulatory AgendaSecurities and Exchange CommissionStatementGovernmentFinance

• SEC Appoints Paul Knight as Chief Operating Officer

  6 Jul 2026 3:21 p.m.

  The SEC has appointed Paul Knight as its new Chief Operating Officer. He will oversee the agency's operational and administrative functions, including the Office of… This key role aims to streamline the commission's internal workings.

  Politics and GovernmentBusinessFederal GovernmentFinancial MarketsEconomy Paul KnightSecurities and Exchange CommissionChief Operating OfficerSECAppointmentOperationsGovernment

• SEC Reports Surge in IPOs and Capital Market Activity

  1 Jul 2026 10:12 a.m.

  The SEC's DERA published updated U.S. capital market statistics, highlighting an increase in IPOs and proceeds raised. The report also includes new asset-backed securities issuance data, offering fresh insights.

  BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionSECDERACapital MarketsIPOsAsset-Backed SecuritiesMarket Statistics

• SEC Seeks Public Comment on Novel Exchange-Traded Funds

  30 Jun 2026 10:21 a.m.

  The SEC is requesting public comment on exchange-traded funds (ETFs) that invest in innovative asset classes or use novel strategies. This aims to facilitate their market integration and address unique aspects of these financial products.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionSECExchange-Traded FundsETFsPublic CommentInvestment StrategiesFinancial Regulation

• SEC and CFTC Seek Public Comment on Portfolio Margining Harmonization

  26 Jun 2026 10:21 a.m.

  The SEC and CFTC are seeking public comment on harmonizing portfolio margining frameworks. This joint initiative aims to streamline regulatory approaches for calculating margin across diverse securities, fostering a more consistent financial environment.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentLegalEconomy Securities and Exchange CommissionCommodity Futures Trading CommissionPortfolio MarginingRegulatory FrameworksPublic CommentHarmonizationFinancial Regulation

• SEC Appoints John Moses as Director of Investor Education Office

  12 Jun 2026 12:41 p.m.

  The Securities and Exchange Commission has named John Moses as the new Director of its Office of Investor Education and Assistance. This office is crucial for providing resources to help investors secure their financial futures and protect against risks.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomyEducation John MosesSecurities and Exchange CommissionInvestor EducationFinancial LiteracyInvestment ProtectionAppointmentsFinancial Services

• SEC Announces Trading Suspension for Happy City Holdings Limited

  12 Jun 2026 10:11 a.m.

  The SEC has announced a new trading suspension for Happy City Holdings Limited. Information regarding this regulatory action is now publicly available from the commission.

  BusinessPolitics and GovernmentEconomyFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionSECTrading SuspensionHappy City Holdings LimitedFinancial RegulationMarket Transparency

• Media Monitor: Trump Nominates Jay Clayton as DNI

  11 Jun 2026 3:03 p.m. · Source: USA TODAY

  USA TODAY reports President Trump has nominated Jay Clayton, former SEC chair and current Justice Department official, as Director of National Intelligence amid unspecified backlash.

  Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsWhite HouseLegal Donald J TrumpJay ClaytonDirector of National IntelligenceSecurities and Exchange CommissionJustice DepartmentSouthern District of New YorkPulteUSA TODAY

• SEC Chairman Atkins Releases Statement on Market Pricing

  11 Jun 2026 2:22 p.m.

  SEC Chairman Paul S. Atkins has released a new statement regarding minimum pricing increments and access fee caps. This announcement from the Securities and Exchange Commission highlights ongoing regulatory focus on market structure.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionSECPaul S. AtkinsPricing IncrementsAccess Fee CapsMarket Regulation

• SEC Commissioner Peirce Comments on Proposed Disorder Protection Rule Amendments

  11 Jun 2026 12:22 p.m.

  SEC Commissioner Hester M. Peirce has released a statement concerning proposed amendments to Rule 611 and other Regulation NMS provisions, focusing on the "Disorder Protection Rule" to enhance market stability.

  Politics and GovernmentBusinessMediaFederal GovernmentFinancial MarketsEconomyLegal Securities and Exchange CommissionHester M. PeirceRegulation NMSRule 611Disorder Protection RuleFinancial RegulationMarket Stability

• SEC Proposes Rescission of Key Regulation NMS Rules

  11 Jun 2026 11:11 a.m.

  The SEC proposes rescinding Regulation NMS Rules 611 and 610(e), citing "unintended consequences" after two decades. This aims to reevaluate the rules' effectiveness and impact on market operations.

  BusinessPolitics and GovernmentUSA Securities and Exchange CommissionRegulation NMSRule 611Rule 610(e)RescissionFinancial RegulationMarket System

• SEC Establishes Joint Data Standards Under Financial Data Transparency Act

  8 Jun 2026 10:42 a.m.

  The SEC has established joint data standards under the Financial Data Transparency Act of 2022. This final rule sets technical standards for data submitted to financial regulatory agencies, involving eight additional bodies.

  BusinessPolitics and GovernmentScience & TechnologyFederal GovernmentFinancial MarketsLegalComputers and Internet Securities and Exchange CommissionSECFinancial Data Transparency Act of 2022Data StandardsFinancial Regulatory AgenciesTechnical StandardsRegulation

• SEC Releases Chairman Atkins' Investor Advisory Committee Remarks

  4 Jun 2026 5:01 p.m.

  SEC Chairman Paul S. Atkins' remarks from an April 26, 2006, Investor Advisory Committee Meeting have been released, offering public insight into past discussions.

  BusinessPolitics and GovernmentFederal GovernmentFinancial Markets Securities and Exchange CommissionPaul S. AtkinsInvestor Advisory CommitteeRemarksFinancial RegulationInvestmentGovernment

• SEC Appoints Five New Members to Small Business Advisory Committee

  4 Jun 2026 4:11 p.m.

  The SEC has appointed five new members to its Small Business Capital Formation Advisory Committee. These individuals will serve four-year terms, joining 15 current members to advise on issues affecting small businesses and capital formation.

  BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial Markets Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeAppointmentsSmall BusinessCapital FormationGovernmentFinance

• SEC Publishes Commissioner Uyeda's Investor Advisory Committee Remarks

  4 Jun 2026 10:51 a.m.

  The SEC has made Commissioner Mark T. Uyeda's remarks from the Investor Advisory Committee Meeting publicly available. The speech offers insights into the commission's work.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Securities and Exchange CommissionMark T. UyedaInvestor Advisory CommitteeSpeechesFinancial RegulationGovernmentPublic Information

• SEC Commissioner Peirce's Blockchain Remarks Now Available

  3 Jun 2026 3:02 p.m.

  SEC Commissioner Hester Peirce's speech, "Base Case," delivered at the IC3 Blockchain Camp, is now available. The remarks offer insights into blockchain technology from the Commissioner.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomyComputers and Internet Hester PeirceSecurities and Exchange CommissionBlockchainIC3 Blockchain CampFinancial RegulationTechnologySpeeches

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