SEC Announces Fiscal Year 2027 Examination Priorities
Washington, D.C.--(Newsfile Corp. - October 23, 2026) - The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud, identify and monitor risk, and inform Commission policy. The priorities were developed in coordination with divisions and offices across the SEC and reflect examination observations, market...
2026-10-23 10:27 AM EDT
SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers
Washington, D.C.--(Newsfile Corp. - October 20, 2026) - The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the supervision of certain investment advisers and investment companies regulated by the SEC and investment service providers supervised by the AMF. The MOU establishes a comprehensive framework for...
2026-10-20 10:51 AM EDT
SEC, FSA Hold Autumn Financial Regulatory Dialogue
Washington, D.C.--(Newsfile Corp. - October 20, 2026) - The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 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. SEC Commissioner Mark T. Uyeda led the Dialogue for the SEC and Mr. MIYOSHI...
2026-10-20 8:59 AM EDT
SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence
Washington, D.C.--(Newsfile Corp. - October 19, 2026) - The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs. “In the age of SI, high-quality information is critical. The roundtable will facilitate insightful discussions on the public’s use of machine-understandable data and SI along with associated risks and costs,” said Joshua White,...
2026-10-19 2:58 PM EDT
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
Washington, D.C.--(Newsfile Corp. - October 14, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy changes to Regulation Crowdfunding. 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...
2026-10-14 12:25 PM EDT
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
Washington, D.C.--(Newsfile Corp. - October 9, 2026) - The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments would modernize and expand the cross-trading rule and would allow cross trades that are beneficial to registered funds and their shareholders (by, for example, reducing a fund’s trading...
2026-10-09 11:45 AM EDT
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
Washington, D.C.--(Newsfile Corp. - October 6, 2026) - The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC previously charged with a multi-year cherry-picking allocation scheme. As alleged in the SEC’s November 2024 complaint, from at least January 2021 through October 2023, Leech placed trades and...
2026-10-06 6:01 PM EDT
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Washington, D.C.--(Newsfile Corp. - October 6, 2026) - The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors. The conference will include panel discussions...
2026-10-06 12:20 PM EDT
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
Washington, D.C.--(Newsfile Corp. - October 5, 2026) - The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing economic conditions and to be vigilant in the face of rising relationship investment and impersonation scams. World Investor Week is a global effort by the International Organization of Securities...
2026-10-05 9:39 AM EDT
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
Washington, D.C.--(Newsfile Corp. - October 1, 2026) - The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business development companies. The Commission’s proposal would modernize custody rules and expand investor choice by removing regulatory barriers that inhibit the adviser’s ability to provide...
2026-10-01 4:06 PM EDT
SEC's Division of Examinations Announces New Exam Handbook
Washington, D.C.--(Newsfile Corp. - October 1, 2026) - The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing registrants with more insight and detail about what to expect during an examination. The new handbook provides a clear roadmap of the process used by division examiners across the country to...
2026-10-01 11:52 AM EDT
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
Washington, D.C.--(Newsfile Corp. - September 30, 2026) - The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO securities. According to the SEC’s complaint, in a series of schemes from at least December 2021 to the present, the defendants violated their fiduciary duties by misusing client fund assets,...
2026-09-30 3:19 PM EDT
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
Washington, D.C.--(Newsfile Corp. - September 30, 2026) - The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond Alpha Ventures LLC (BAV), and advisory firm, Beyond Equity LLC. According to the complaint, Dinelli, a former naval officer, targeted veterans as well as individuals who provide medical...
2026-09-30 2:04 PM EDT
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
Washington, D.C.--(Newsfile Corp. - September 30, 2026) - The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while preserving appropriate investor protections and safeguards. The Commission is separately requesting public comment as it considers providing individual investors with additional ways to...
2026-09-30 12:22 PM EDT
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors
Washington, D.C.--(Newsfile Corp. - September 29, 2026) - The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where the perpetrators sought to build online relationships with unsuspecting clients before stealing their money. In two separate complaints, both filed in U.S. District Court for the...
2026-09-29 12:31 PM EDT
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
Washington, D.C.--(Newsfile Corp. - September 28, 2026) - The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients. According to the SEC order, Zoe Financial operated a referral service which used an algorithm to match third-party investment advisers in its network with individuals seeking a...
2026-09-28 4:16 PM EDT
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
Washington, D.C.--(Newsfile Corp. - September 23, 2026) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public offerings (IPOs) and follow-on registered offerings. Key Highlights: First Half 2026 In the first half of 2026, IPO and follow-on offering activity showed year-over-year growth: IPOs:...
2026-09-23 2:34 PM EDT
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
Washington, D.C.--(Newsfile Corp. - September 23, 2026) - The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or retired law enforcement officers in South Florida. The defendants have agreed to a bifurcated settlement in connection with the charges and subject to court approval. According to the...
2026-09-23 2:10 PM EDT
SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
Washington, D.C.--(Newsfile Corp. - September 22, 2026) - The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI). According to the SEC’s settled order, between August 2016 and March 2025, OTC Link LLC failed to establish, maintain, and enforce certain written policies and procedures required by Regulation SCI for OTC Link...
2026-09-22 2:12 PM EDT
SEC Issues "Innovation Exemption" to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
Washington, D.C.--(Newsfile Corp. - September 17, 2026) - The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade tokenized National Market System (NMS) stock using innovative permissioned automated market makers and liquidity pools (together “AMM Liquidity Pools”). “Today, the Securities and Exchange...
2026-09-17 9:10 AM EDT