SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
Washington, D.C.--(Newsfile Corp. - March 17, 2026) - The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide greater clarity regarding the Commission’s treatment of crypto assets, and complements Congressional endeavors to codify a comprehensive market structure framework into statute. The Commodity...
2026-03-17 4:07 PM EDT
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
Washington, D.C.--(Newsfile Corp. - March 17, 2026) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered offerings, corporate bond offerings, Regulation A offerings, Regulation Crowdfunding offerings, Regulation D offerings, municipal advisors, transfer agents, SBSDs, and asset-backed...
2026-03-17 3:29 PM EDT
SEC Proposes Amendments to Exchange Act Rule 15c2-11
Washington, D.C.--(Newsfile Corp. - March 16, 2026) - The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in, securities in the over-the-counter (OTC) market. Since its adoption, Rule 15c2-11’s focus has been on preventing certain manipulative and fraudulent trading schemes in the OTC equity...
2026-03-16 3:34 PM EDT
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned from Agency
Washington, D.C.--(Newsfile Corp. - March 16, 2026) - The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March 16, 2026. “Our goal has been to the lead the Division of Enforcement back to Congress’ original intent: enforcing the federal securities laws, particularly as they relate to fraud and...
2026-03-16 2:38 PM EDT
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
Washington, D.C.--(Newsfile Corp. - March 11, 2026) - The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that they have entered into a Memorandum of Understanding (MOU) to guide coordination and collaboration between the two agencies to support lawful innovation, uphold market integrity, and ensure investor and customer protection. The MOU reflects both agencies’ commitment to provide fair notice to market participants, respect individual...
2026-03-11 4:51 PM EDT
SEC Investor Advisory Committee to Host March 12 Meeting
Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential recommendation regarding the tokenization of equity securities. The meeting will also be webcast on the SEC website and consist of two panels: Public Company Disclosure Reform Fund Proxy Voting:...
2026-03-05 11:12 AM EST
SEC Announces Roundtable on Options Market Structure Reform
Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and identifying opportunities and challenges for continued growth. “The U.S.-listed options market has seen remarkable growth, particularly among retail investors,” said SEC Commissioner Hester M....
2026-03-05 10:24 AM EST
SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions of directors and officers of foreign private issuers (FPIs). Directors and officers of FPIs with a class of equity securities registered under Section 12 of the Securities Exchange Act of...
2026-02-27 1:00 PM EST
SEC, FSA Hold Spring Financial Regulatory Dialogue
Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen collaboration on key cross-border issues and developments. Commissioner Mark T. Uyeda led the Dialogue for the SEC and Mr. MIYOSHI...
2026-02-27 10:15 AM EST
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
Washington, D.C.--(Newsfile Corp. - February 26, 2026) - The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization. The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET at the SEC’s Washington D.C. headquarters and streamed live on the SEC website. “With retail exposure to alternative investments becoming more common, we want to help everyday...
2026-02-26 9:57 AM EST
SEC's Division of Enforcement Announces Updates to Enforcement Manual
Washington, D.C.--(Newsfile Corp. - February 24, 2026) - The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations conducted by the Division. They include changes to investigative procedures that are intended to enhance consistency and uniformity in the Division’s practices and to create greater...
2026-02-24 9:14 AM EST
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
Washington, D.C.--(Newsfile Corp. - February 18, 2026) - The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant information about a fund. The proposed amendments to Form N-PORT follow a review (in accordance with a Presidential...
2026-02-18 2:29 PM EST
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
Washington, D.C.--(Newsfile Corp. - February 13, 2026) - The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and an agenda are available on the event page. The forum brings together members of the public and private sectors to discuss and provide suggestions to improve policy...
2026-02-13 11:51 AM EST
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
Washington, D.C.--(Newsfile Corp. - February 5, 2026) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and security-based swap dealers (SBSDs). The reports provide the public with information about the growth in active ETFs and the changes in fees paid by investors when mutual funds and ETFs...
2026-02-05 2:17 PM EST
SEC Appoints New Chairman and Board Members to PCAOB
Washington, D.C.--(Newsfile Corp. - January 30, 2026) - The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George Botic will continue his service as a Board member and will remain as Acting Chairman until Mr. Logothetis is sworn in. The Sarbanes-Oxley Act of 2002 established the PCAOB to oversee the...
2026-01-30 4:05 PM EST
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
Washington, D.C.--(Newsfile Corp. - January 27, 2026) - The Securities and Exchange Commission today filed settled charges against Archer-Daniels-Midland Company (ADM) and its former executives, Vince Macciocchi and Ray Young, and a litigated action against its former executive Vikram Luthar, for materially inflating the performance of a key ADM business segment, Nutrition, which ADM touted to investors as an important driver of the company’s overall growth. The SEC’s complaint against Luthar...
2026-01-27 6:52 PM EST
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Washington, D.C.--(Newsfile Corp. - January 26, 2026) - Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC headquarters to discuss harmonization between the two agencies and their efforts to deliver on President Trump’s promise to make the United States the crypto capital of the world. “For...
2026-01-26 11:27 AM EST
SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the two agencies and their efforts to deliver on President Trump’s promise to make the United States the crypto capital of the world. “For too long, market participants have been forced to...
2026-01-22 4:49 PM EST
SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The meeting will continue the committee’s discussion on potential regulatory improvements regarding “finders” who assist companies with raising capital in private...
2026-01-22 3:08 PM EST
SEC Approves 2026 PCAOB Budget and Accounting Support Fee
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission today approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) and the related accounting support fee. The 2026 PCAOB budget totals $362.1 million. The 2026 budget reflects a 9.4% ($37.6 million) decrease from the prior year and includes a 52% and 42% reduction in the chairperson and other Board members’ compensation, respectively. The accounting support fee (ASF) totals...
2026-01-22 12:14 PM EST