SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
Washington, D.C.--(Newsfile Corp. - May 6, 2026) - The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit profits. According to the SEC’s complaint, between 2018 and 2024, Nicolo Nourafchan, a mergers and acquisitions attorney based in Los Angeles, California, orchestrated a global scheme with his...
2026-05-06 7:50 PM EDT
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Washington, D.C.--(Newsfile Corp. - May 5, 2026) - Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help American workers save for retirement. In 2019, Congress passed the Setting Every Community Up for Retirement Enhancement (SECURE) Act. Through this legislation, Congress created PEPs, which...
2026-05-05 5:34 PM EDT
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
Washington, D.C.--(Newsfile Corp. - May 5, 2026) - The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities laws. Public companies, subject to Exchange Act Section 13(a) or 15(d), are currently required to file quarterly reports on Form 10-Q. The proposed amendments, if adopted, would allow these...
2026-05-05 12:19 PM EDT
Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
Washington, D.C.--(Newsfile Corp. - April 30, 2026) - The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service. “Jason’s exceptional leadership and judgment have been invaluable assets to the SEC throughout his distinguished career,” said SEC Division of Enforcement Acting Director Sam Waldon. “I am grateful for his commitment to...
2026-04-30 5:29 PM EDT
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
Washington, D.C.--(Newsfile Corp. - April 20, 2026) - The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The agencies proposed to amend Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as...
2026-04-20 10:56 AM EDT
Chairman Atkins Launches 'Material Matters' Podcast
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and rulemaking agenda. Chairman Atkins will be joined by guests across the agency, government, and industry, including fellow commissioners, division directors, legal and policy experts,...
2026-04-16 4:40 PM EDT
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public. The meeting will be open to the public and held at the SEC’s headquarters at 100 F Street, N.E, Washington D.C. The discussion will also be streamed live on SEC.gov. The committee will start the morning session by...
2026-04-16 12:07 PM EDT
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
Washington, D.C.--(Newsfile Corp. - April 16, 2026) - The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of U.S. securities markets. The concept release seeks comment on topics including, but not limited to, CAT funding and cost management, the regulatory purpose of the CAT, the structure and...
2026-04-16 10:20 AM EDT
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
Washington, D.C.--(Newsfile Corp. - April 15, 2026) - The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury securities cleared by a registered derivatives clearing organization. The order provides for an exemption from the broker-dealer customer protection rule for a broker-dealer that is...
2026-04-15 4:19 PM EDT
SEC Appoints David Woodcock as Director of the Division of Enforcement
Washington, D.C.--(Newsfile Corp. - April 8, 2026) - The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn & Crutcher LLP, where he serves as chair of the firm’s Securities Enforcement Practice Group. Sam Waldon will continue to serve as Acting Director of the Enforcement Division until May 4....
2026-04-08 12:56 PM EDT
SEC Announces Enforcement Results for Fiscal Year 2025
Washington, D.C.--(Newsfile Corp. - April 7, 2026) - The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025. Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission resources. Regrettably, such resources have been misapplied in prior years to pursue media headlines and run up numbers, and in turn, led to misguided expectations on what constitutes effective...
2026-04-07 5:36 PM EDT
SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
Washington, D.C.--(Newsfile Corp. - April 2, 2026) - The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m. to 3:15 p.m. ET. The event will be open to the public and webcast live on the SEC’s website. Doors will open at 8:00 a.m. ET. For in-person attendance, please register here. Visitors will be...
2026-04-02 7:35 PM EDT
SEC Highlights Financial Independence During Financial Literacy Month
Washington, D.C.--(Newsfile Corp. - March 31, 2026) - The Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA) today announced that as part of April’s National Financial Literacy Month it will highlight financial planning tools and resources on Investor.gov to encourage people to build toward financial independence. Throughout April, SEC staff will provide information to help investors as they create a plan to reach their financial goals and pursue their...
2026-03-31 11:47 AM EDT
SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
Washington, D.C.--(Newsfile Corp. - March 27, 2026) - The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act of 1934 to allow for the implementation of various cost savings measures designed to meaningfully reduce the costs of the CAT while maintaining core regulatory functionality. “After a decade...
2026-03-27 5:50 PM EDT
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