Tag: securities_and_exchange_commission

• SEC Commissioner Uyeda Issues Statement on Adoption of Amendments to Small Entity Definitions

  4 Nov 2026 11:41 a.m.

  SEC Commissioner Mark T. Uyeda has released a statement on the agency's adoption of amendments to its small entity definitions, published among the commission's speeches and statements.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedasmall entity definitionsSEC rule amendmentsfinancial regulationWashington DC

• SEC Adopts Amendments Updating 'Small Entity' Definitions for Investment Companies and Advisers

  4 Nov 2026 11:41 a.m.

  The SEC has adopted amendments to rules defining which registered investment companies, investment advisers and business development companies qualify as small entities under the Regulatory Flexibility Act.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange Commissionsmall entityRegulatory Flexibility Actinvestment companiesinvestment advisersbusiness development companiesSEC rule amendments

• CFTC Chairman Selig Clears Path for Equity Perpetual Futures Trading

  3 Nov 2026 9:08 a.m.

  CFTC Chairman Michael S. Selig announced perpetual futures on individual equity securities can begin trading for the first time on designated contract markets dually registered with the SEC.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsFederal GovernmentLegalEconomy CFTCMichael S. Seligequity perpetual futuresSecurities and Exchange Commissiondesignated contract marketssecurity futures products

• SEC Commissioner Mark T. Uyeda to Speak at PLI's 58th Annual Institute on Securities Regulation

  2 Nov 2026 2:51 p.m.

  SEC Commissioner Mark T. Uyeda has delivered remarks at the Practicing Law Institute's 58th Annual Institute on Securities Regulation, the agency has announced.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. UyedaPracticing Law InstituteInstitute on Securities RegulationSEC speechessecurities regulation

• SEC Chairman Paul S. Atkins to Deliver Remarks at the Economic Club of Dallas

  30 Oct 2026 5:01 p.m.

  SEC Chairman Paul S. Atkins has posted remarks delivered at the Economic Club of Dallas, the agency announced in its Speeches and Statements section.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionPaul S. AtkinsEconomic Club of DallasSpeeches and StatementsFinancial regulation

• SEC Grants Exemptive Relief from Treasury Clearing Rules for Inter-Affiliate and Non-U.S. Repo Transactions

  30 Oct 2026 3:42 p.m.

  The SEC has issued exemptive relief covering inter-affiliate repo and certain non-U.S. repo transactions, aiming to help broker-dealers and other market participants move toward central clearing of U.S. Treasury securities.

  BusinessPolitics and GovernmentFinancial MarketsBankingFederal GovernmentLegal Securities and Exchange CommissionTreasury clearingrepo transactionsexemptive reliefbroker-dealersU.S. Treasury securities

• SEC Charges Two Entities in $130 Million Fraud Scheme Using False SEC Filings

  29 Oct 2026 2:41 p.m.

  The SEC has charged BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd over a $130 million fraud scheme that used false SEC filings to boost investor confidence in the entities.

  BusinessLaw EnforcementLegalFinancial MarketsBanking Securities and Exchange CommissionBG Wealth Sharing LtdDSJ Exchange Pty Ltdfraud schemeSEC filingsColoradoinvestor confidence

• SEC Trading and Markets Director Jamie Selway to Speak at STA Annual Conference

  29 Oct 2026 1:21 p.m.

  The SEC has posted a new speech, "Transfer Portal," by Jamie Selway, Director of the Division of Trading and Markets, delivered at the STA annual conference.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionJamie SelwayDivision of Trading and MarketsSTA annual conferenceTransfer Portalspeech

• SEC Chairman Atkins to Ring Texas Stock Exchange Closing Bell, Deliver Dallas Keynote

  28 Oct 2026 11:02 a.m.

  SEC Chairman Paul S. Atkins will ring the Texas Stock Exchange closing bell on Oct. 30 at 3:50 p.m. ET, then give a keynote address and fireside chat with the Economic Club of Dallas.

  BusinessPolitics and GovernmentFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionPaul S. AtkinsTexas Stock ExchangeEconomic Club of Dallasclosing bell ceremonykeynote addressfireside chat

• SEC Commissioner Uyeda Issues Remarks to Small Business Capital Formation Advisory Committee

  28 Oct 2026 10:31 a.m.

  SEC Commissioner Mark T. Uyeda has delivered remarks to the agency's Small Business Capital Formation Advisory Committee, with the speech published in the SEC's Speeches and Statements section.

  BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsEconomy Mark T. UyedaSecurities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeSEC speeches and statementssmall business capital formationfinancial regulation

• SEC Chairman Atkins Speaks at Small Business Capital Formation Advisory Committee Meeting

  27 Oct 2026 12:22 p.m.

  SEC Chairman Paul S. Atkins delivered remarks at the agency's Small Business Capital Formation Advisory Committee meeting, with the speech published on the SEC's website.

  BusinessPolitics and GovernmentFederal GovernmentEconomyFinancial MarketsEmployment and Labor Securities and Exchange CommissionPaul S. AtkinsSmall Business Capital Formation Advisory CommitteeSEC speeches and statementsfinancial regulationsmall business capital formation

• SEC Announces Fiscal Year 2027 Examination Priorities

  23 Oct 2026 10:11 a.m.

  The SEC's Division of Examinations has published its Fiscal Year 2027 examination priorities, identifying key areas of focus as it works to promote compliance and prevent fraud.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionDivision of ExaminationsFiscal Year 2027 examination prioritiescompliancefraud preventionsecurities regulation

• SEC to Host Roundtable on Machine-Understandable Data in the Age of Super Intelligence

  19 Oct 2026 2:31 p.m.

  The Securities and Exchange Commission will hold a November 9, 2026 roundtable on machine-understandable data and Super Intelligence, examining related risks and costs.

  BusinessScience & TechnologyPolitics and GovernmentFederal GovernmentArtificial IntelligenceFinancial MarketsComputers and Internet Securities and Exchange CommissionSuper Intelligencemachine-understandable dataroundtablefinancial regulation

• SEC Investment Management Director Brian Daly to Speak at Stanford Private Capital Roundtable

  16 Oct 2026 2:31 p.m.

  The SEC has posted remarks delivered by Brian Daly, Director of the Division of Investment Management, at the Stanford University Private Capital Roundtable.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegalEducation Securities and Exchange CommissionBrian DalyDivision of Investment ManagementStanford University Private Capital RoundtableSpeeches and StatementsPrivate Capital

• SEC Official Dave Sanchez Addresses Statewide Joint Powers Authorities and Energy Prepay Bonds

  16 Oct 2026 11:51 a.m.

  SEC Office of Municipal Securities Director Dave Sanchez has posted remarks on statewide joint powers authorities and energy prepay bonds, newly available through the agency's Speeches and Statements page.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsEnergyLegal Securities and Exchange CommissionDave SanchezOffice of Municipal SecuritiesStatewide Joint Powers AuthoritiesEnergy Prepay BondsMunicipal BondsSpeeches and Statements

• SEC Suspends Trading in TJGC Group Limited

  15 Oct 2026 8:58 a.m.

  The Securities and Exchange Commission has posted a new trading suspension for TJGC Group Limited, with details available in the agency's enforcement filing.

  BusinessLaw EnforcementPolitics and GovernmentFinancial MarketsLegalFederal Government TJGC Group LimitedSecurities and Exchange Commissiontrading suspensionenforcementUS financial regulation

• SEC Trading and Markets Director Jamie Selway to Speak at Security Traders Association's 93rd Annual Market Structure Conference

  14 Oct 2026 2:31 p.m.

  Jamie Selway, Director of the SEC's Division of Trading and Markets, has delivered remarks titled "How Soon is Now?" at the Security Traders Association's 93rd Annual Market Structure Conference.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionJamie SelwaySecurity Traders AssociationMarket Structure ConferenceDivision of Trading and MarketsSpeeches and Statements

• SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding

  14 Oct 2026 11:31 a.m.

  The SEC's Small Business Capital Formation Advisory Committee will meet October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy around regulation crowdfunding.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionSmall Business Capital Formation Advisory CommitteeIPO modernizationregulation crowdfundingsmall business capital formation

• SEC Approves Rule Change to Permit Listing of Binary Options Overlying Key Performance Indicators

  13 Oct 2026 9:31 p.m.

  SEC Chairman Paul S. Atkins issues a statement on the Commission's approval of a proposed rule change to permit the listing of binary options overlying key performance indicators.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionPaul S. Atkinsbinary optionskey performance indicatorsrule changeSpeeches and Statements

• SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

  9 Oct 2026 11:01 a.m.

  Chairman Paul S. Atkins and Commissioner Mark T. Uyeda each issued statements on the proposed amendments to the Investment Company Act cross-trading rule, which is subject to public comment before any changes are finalized.

  BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal SECPaul S. AtkinsInvestment Company Cross TradingProposed AmendmentsSecurities and Exchange CommissionFinancial RegulationMark T. Uyedacross-trading rulesSEC speeches and statementsInvestment Company Actcross-trading ruleregistered fundssecurities regulationmutual funds

• SEC to Host Virtual National Compliance Outreach Seminar on Nov. 19

  6 Oct 2026 2:10 p.m.

  The 2026 Compliance Outreach Program National Seminar, aimed at chief compliance officers of investment companies and investment advisers, will run from 8:30 A.M. ET.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBankingEducation Securities and Exchange CommissionCompliance Outreach ProgramInvestment AdvisersInvestment CompaniesInvestor ProtectionVirtual Seminarchief compliance officersWashington, DC

• SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case

  6 Oct 2026 5:51 p.m.

  The SEC has moved for a final judgment by consent against Stephen Kenneth Leech II, former co-chief investment officer of Western Asset Management Company LLC, in its cherry picking case.

  BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionKen LeechWestern Asset Management Company LLCcherry pickingfinal judgmentinvestment adviser

• US Regulators Urge Investors to Build Resilience Against Market Swings and Fraud for World Investor Week 2026

  5 Oct 2026 10:44 a.m.

  SEC, CFTC, FINRA, NASAA, NFA and SIPC issue a joint investor bulletin for World Investor Week 2026, urging diversification, emergency savings and vigilance against relationship and impersonation scams.

  BusinessLaw EnforcementUSACanadaFinancial MarketsLegalComputers and InternetSocial Issues World Investor Week 2026Securities and Exchange Commissioninvestor educationinvestment fraudrelationship investment scamsdiversificationSecurities Investor Protection Corporation

• SEC Joins Global Regulators to Issue Investor Fraud Awareness Bulletin for World Investor Week

  5 Oct 2026 9:31 a.m.

  The SEC and global financial regulators issued a joint investor bulletin for World Investor Week, urging investors to stay resilient amid changing conditions and to guard against fraud.

  BusinessLaw EnforcementUSAFinancial MarketsLegalSocial Issues Securities and Exchange CommissionWorld Investor Weekinvestor bulletinfraud awarenessfinancial regulatorsinvestor protection

• SEC Chairman Atkins and Commissioner Uyeda Issue Statement on Departure of Commissioner Hester Peirce

  1 Oct 2026 4:41 p.m.

  SEC Chairman Paul S. Atkins and Commissioner Mark T. Uyeda have issued a joint statement on the departure of Commissioner Hester Peirce, posted to the agency's Speeches and Statements page.

  Politics and GovernmentBusinessUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionHester PeircePaul S. AtkinsMark T. UyedaSEC CommissionerGovernment

• SEC's Peirce Calls Custody Rule Proposal a "Roller Coaster Ride"

  1 Oct 2026 4:11 p.m.

  SEC Commissioner Hester M. Peirce has issued a statement on proposed adviser and regulated fund custody rules, including crypto custody rules, titled "Roller Coaster Ride."

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionHester M. PeirceCustody RulesCrypto CustodyRegulated FundsInvestment AdvisersSpeeches and Statements

• SEC Proposes Framework for Crypto Asset Custody by Advisers and Funds

  1 Oct 2026 4:01 p.m.

  The SEC has proposed new rules and amendments creating a tailored framework for how registered investment advisers and regulated funds may custody crypto assets under federal securities laws.

  BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal GovernmentEconomy Securities and Exchange Commissioncrypto assetsinvestment advisersregulated fundscustodyfederal securities lawsbusiness development companies

• SEC Commissioner Uyeda Issues Statement on Proposed Custody Rule Amendments

  1 Oct 2026 4:01 p.m.

  SEC Commissioner Mark T. Uyeda has released a statement on proposed amendments to the custody rules, posted among the agency's speeches and statements.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedacustody rulesproposed amendmentsSEC CommissionerWashington, DCfinancial regulation

• SEC's Division of Examinations Announces New Exam Handbook

  1 Oct 2026 11:41 a.m.

  The SEC's Division of Examinations published a new handbook replacing its previous examination brochure, offering a practical guide on process and engagement for the firms it examines.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBanking SECDivision of ExaminationsSEC Exam HandbookSecurities and Exchange CommissionFinancial RegulationExam Handbook

• SEC Staff Issue Statement on Trump Accounts

  30 Sep 2026 6:01 p.m.

  The SEC's Divisions of Investment Management and Corporation Finance have posted a joint staff statement on Trump Accounts, newly available in the agency's Speeches and Statements section.

  BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal SECTrump AccountsDivision of Investment ManagementDivision of Corporation FinanceSecurities and Exchange CommissionStaff Statement

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