SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
Washington, D.C.--(Newsfile Corp. - July 10, 2026) - The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The update offers more clarity to: Public-private partnership (P3) market participants that are considering whether their activities require registration as a municipal advisor; Form MA and MA-I filers...
2026-07-10 1:25 PM EDT
SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
Washington, D.C.--(Newsfile Corp. - July 8, 2026) - The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine the IPO process and reassess the framework for how companies of all sizes access public capital. The event will bring together innovative practitioners and seasoned professionals to challenge conventional...
2026-07-08 3:49 PM EDT
SEC Small Business Advisory Committee to Explore Modernizing Market Access
Washington, D.C.--(Newsfile Corp. - July 8, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs and small public company capital formation. The meeting will be open to the public and held at the SEC’s headquarters at 100 F Street, NE, Washington D.C. The discussion will be streamed live on SEC.gov....
2026-07-08 10:49 AM EDT
SEC Forms New Retail Fraud Working Group
Washington, D.C.--(Newsfile Corp. - July 7, 2026) - The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors. The Retail Fraud Working Group will leverage staff and resources across the Commission to identify fraud and other misconduct targeting retail investors, including offering frauds, pump-and-dump schemes, market...
2026-07-07 12:06 PM EDT
SEC Names Paul Knight as Chief Operating Officer
Washington, D.C.--(Newsfile Corp. - July 6, 2026) - The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO). As COO, Mr. Knight will oversee the SEC's operational and administrative functions, including the agency's Office of Human Resources; Office of Acquisitions; Office of Financial Management; EDGAR Business Office; Office of the Chief Data Officer; Office of the Chief Risk Officer, and Office of Support...
2026-07-06 3:21 PM EDT
SEC Seeks Public Comment on Novel Exchange-Traded Funds
Washington, D.C.--(Newsfile Corp. - June 30, 2026) - The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation in the ETF space while protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation. “Innovation in exchange-traded funds depends on a...
2026-06-30 11:20 AM EDT
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
Washington, D.C.--(Newsfile Corp. - June 26, 2026) - The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities, security-based swaps, futures, swaps, and related positions. The request for comment is intended to assist the agencies in evaluating whether greater coordination or alignment in portfolio...
2026-06-26 10:32 AM EDT
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
Washington, D.C.--(Newsfile Corp. - June 24, 2026) - The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the globe to facilitate cross-border enforcement and supervisory cooperation and provides technical assistance. Ms. Hutchinson has served as OIA’s Acting Director since January 2025. She started at...
2026-06-24 2:39 PM EDT
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
Washington, D.C.--(Newsfile Corp. - June 18, 2026) - The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and interpretive issues. The request for comment is intended to support the Commissions’ ongoing evaluation of whether current regulatory definitions, interpretations, and jurisdictional frameworks...
2026-06-18 3:54 PM EDT
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
Washington, D.C.--(Newsfile Corp. - June 18, 2026) - The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the security-based swap and swap markets, respectively. “Extensive data collection, if not appropriately calibrated, can hinder, rather than enhance, understanding and accountability,” said SEC...
2026-06-18 3:53 PM EDT
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
Washington, D.C.--(Newsfile Corp. - June 12, 2026) - The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment fraud. Mr. Moses joined the SEC staff in 2016 and has served in a variety of positions, including as Managing Executive in the Office of the Chairman before becoming a Deputy Director in the...
2026-06-12 1:07 PM EDT
SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Washington, D.C.--(Newsfile Corp. - June 11, 2026) - The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS. “After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than enhanced — the long-term growth of our markets,” said SEC Chairman Paul S. Atkins. “This proposal is intended to simplify market structure and reduce costs for market participants while...
2026-06-11 11:19 AM EDT
SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
Washington, D.C.--(Newsfile Corp. - June 8, 2026) - The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional agencies have established or are expected to act on establishing the joint standards: the Board of Governors of the Federal Reserve System, the Commodity Futures Trading Commission, the...
2026-06-08 10:45 AM EDT
SEC Announces New Members of Small Business Capital Formation Advisory Committee
Washington, D.C.--(Newsfile Corp. - June 4, 2026) - The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current Commission-appointed committee members. “I thank the new members for their willingness to serve on the advisory committee, which plays an important role in advising the Commission in our work to facilitate capital formation for...
2026-06-04 4:18 PM EDT
SEC Publishes Draft Strategic Plan for Public Comment
Washington, D.C.--(Newsfile Corp. - June 2, 2026) - The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient markets; and facilitating capital formation. “During my tenure as Chairman, the Commission will not stray from this core three-part mission, and the Draft Strategic Plan focuses on three important goals to...
2026-06-02 11:58 AM EDT
SEC Announces Four New Members of Investor Advisory Committee
Washington, D.C.--(Newsfile Corp. - June 1, 2026) - The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the designated representative of the interests of senior citizens. These four new members join nine current committee members. The committee, established pursuant to Section 39 of the Securities Exchange Act of 1934,...
2026-06-01 4:20 PM EDT
SEC Proposes Rescission of Climate-Related Disclosure Rules
Washington, D.C.--(Newsfile Corp. - May 29, 2026) - The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s proposal focuses on returning the agency to its core mandate – in line with its legal authority – and restoring a materiality-focused approach to securities regulation. “SEC disclosure obligations...
2026-05-29 11:50 AM EDT
SEC Investor Advisory Committee to Host June 4 Meeting
Washington, D.C.--(Newsfile Corp. - May 27, 2026) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 a.m. ET to discuss private markets, passive index funds, and recommendations regarding fund proxy voting and quarterly versus semiannual reporting. The meeting will also be webcast on the SEC website and consist of two panels: Avoiding Retail Confusion Regarding Private Market Assets...
2026-05-27 12:23 PM EDT
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
Washington, D.C.--(Newsfile Corp. - May 21, 2026) - The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common regulatory interest. The MOU will enhance SEC and NFA staff’s ability to share information on matters of mutual regulatory interest such as emerging risks, examination planning, and financial...
2026-05-21 2:15 PM EDT
SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
Washington, D.C.--(Newsfile Corp. - May 19, 2026) - The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor protections. The Commission also proposed rule amendments to simplify its public company reporting framework and better calibrate disclosure obligations with a company's size and maturity. The United...
2026-05-19 11:21 AM EDT