Tag: securities_regulation
-
SEC Commissioner Mark T. Uyeda to Speak at PLI's 58th Annual Institute on Securities Regulation
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 Announces Fiscal Year 2027 Examination Priorities
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 Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
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 Chairman Atkins Issues Statement on Proposals to Rescind Rule 14a-8, Amend Rule 14a-4 and Modernize Proxy Solicitation
SEC Chairman Paul S. Atkins has released a statement on proposals to rescind Rule 14a-8, amend Rule 14a-4 and modernize proxy solicitation, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy SECPaul S. AtkinsRule 14a-8Rule 14a-4Proxy SolicitationSecurities RegulationShareholder Proposals
-
SEC Charges 38 Entities Over False Filings to Lure Investors
The SEC has charged 38 entities for allegedly making false filings in Forms ADV between 2025 and 2026. These firms are accused of misrepresenting themselves as legitimate U.S. advisory firms to attract retail investors.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal SECInvestment AdvisersFalse FilingsRetail InvestorsFraudForms ADVSecurities Regulation
-
SEC Commissioner Uyeda Addresses Small Business Capital Formation Committee
SEC Commissioner Mark T. Uyeda delivered remarks to the Small Business Capital Formation Advisory Committee. His speech, now available, offers insights into capital formation for small businesses, providing public access to the discussion.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsEducation Mark T. UyedaSECSmall Business Capital Formation Advisory CommitteeCapital FormationSmall BusinessSpeechesSecurities Regulation