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
SEC Seeks Candidates for Membership on the Investor Advisory Committee
Washington, D.C.--(Newsfile Corp. - January 22, 2026) - The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securities regulation. Candidates will be considered for open at-large membership positions on the committee, as well as for a position as the member who is representative of the interests of senior...
2026-01-22 9:04 AM EST
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
Washington, D.C.--(Newsfile Corp. - January 21, 2026) - The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and policy matters relating to small businesses, including smaller public companies. The committee was established by the SEC Small Business Advocate Act of 2016. Consistent with statutory...
2026-01-21 8:45 AM EST
Division of Corporation Finance Names Senior Staff
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced the senior team from the Division of Corporation Finance responsible for advising division Director James Moloney on all matters the division has before the Commission. These include rulemaking efforts, corporate disclosure matters, and all day-to-day operations needed to fulfill the SEC's mission. “I am pleased that we have assembled such a dedicated and talented group of public...
2026-01-20 3:15 PM EST
Christina M. Thomas to Rejoin the Division of Corporation Finance as Deputy Director
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced that Christina M. Thomas will rejoin the Division of Corporation Finance in February as deputy director and chief advisor on disclosure, policy, and rulemaking. “Christina brings her deep technical experience in disclosure, compliance, and international securities law back to the Commission at a critical time,” said SEC Chairman Paul S. Atkins. “Her expertise will contribute...
2026-01-20 3:11 PM EST
Keith E. Cassidy Named Director of the Division of Examinations
Washington, D.C.--(Newsfile Corp. - January 20, 2026) - The Securities and Exchange Commission today announced that Keith E. Cassidy has been appointed Director of the Division of Examinations. Mr. Cassidy has served as Acting Director since May 2024 and previously was the division’s Deputy Director, Acting Co‑Director, and National Associate Director of the Technology Controls Program. As Acting Director, Mr. Cassidy led several initiatives to strengthen the national examinations program,...
2026-01-20 10:15 AM EST
J. Russell McGranahan Named SEC General Counsel
Washington, D.C.--(Newsfile Corp. - January 15, 2026) - The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the Chairman, Commissioners, and agency staff. Jeffrey Finnell, who has served as Acting General Counsel, remains at the Commission as Deputy General Counsel. “I have known Rusty for many...
2026-01-15 10:43 AM EST
Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
Washington, D.C.--(Newsfile Corp. - January 12, 2026) - The Securities and Exchange Commission today announced that Paul H. Tzur and David M. Morrell have been named as Deputy Directors of the Division of Enforcement. Mr. Tzur joined the Commission on January 6, 2026, as the Deputy Director overseeing the agency’s enforcement program in the Chicago, Atlanta, and Miami Regional Offices. Mr. Morrell joined the Commission on January 12, 2026, as the Deputy Director overseeing the agency’s...
2026-01-12 3:10 PM EST
SEC to Host Hybrid Event on Regulation S-P for Small Firms
Washington, D.C.--(Newsfile Corp. - January 9, 2026) - The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is scheduled for January 22, 2026, from 11:00 am to 12:30 pm ET. At the event, SEC staff will cover the new Regulation S-P compliance obligations, discuss what to expect when interacting with...
2026-01-09 1:52 PM EST
SEC Publishes Staff Report on Capital-Raising Dynamics
Washington, D.C.--(Newsfile Corp. - January 8, 2026) - The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics nationwide. The report presents data across three company lifecycle stages to provide a fulsome picture of what is happening in the small business marketplace. It also highlights the past year’s...
2026-01-08 6:38 PM EST
SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
Washington, D.C.--(Newsfile Corp. - January 7, 2026) - The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility Act (RFA). The RFA requires federal agencies to conduct certain analyses, with the goal of minimizing the significant economic impact of federal rulemaking on small entities. This proposal...
2026-01-07 6:49 PM EST
Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
Washington, D.C.--(Newsfile Corp. - December 29, 2025) - The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025. “I am thankful to Nekia for answering the call to return to public service and for her leadership in the Division of Enforcement,” said SEC Division of Enforcement Director Margaret A. Ryan. “She has shown deep commitment to her...
2025-12-29 3:27 PM EST
SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe
Washington, D.C.--(Newsfile Corp. - December 29, 2025) - The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency. “Cicely has gone above and beyond the call of duty over the past twenty-four years to serve the public in her many critical roles in the Division of Corporation Finance,” said Jim Moloney, Director of the Division of Corporation Finance. “Throughout her tenure she has...
2025-12-29 12:36 PM EST
SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
Washington, D.C.--(Newsfile Corp. - December 22, 2025) - The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment Education Foundation Ltd., and Zenith Asset Tech Foundation alleging that they defrauded retail investors out of more than $14 million in an elaborate investment confidence scam. “This...
2025-12-22 5:13 PM EST
Joshua T. White Named SEC Chief Economist
Washington, D.C.--(Newsfile Corp. - December 17, 2025) - The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of Economic and Risk Analysis (DERA), which integrates financial economics and rigorous data analytics into the SEC’s core mission. Robert Fisher, who has served as the SEC’s Acting Chief...
2025-12-17 3:23 PM EST
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
Washington, D.C.--(Newsfile Corp. - December 17, 2025) - The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year. The report includes: An update on the office’s investor research activities, including the issuance of a working paper on accredited investors and their ownership of private market securities; A discussion of the...
2025-12-17 1:34 PM EST
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
Washington, D.C.--(Newsfile Corp. - December 10, 2025) - The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities offerings that raised more than $18 million from investors across the United States and abroad. Gauvin allegedly misappropriated approximately $6.3 million of investor funds and used...
2025-12-10 4:02 PM EST
SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
Washington, D.C.--(Newsfile Corp. - December 10, 2025) - The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements. The roundtable will be held at the University of Austin’s campus at the Scarbrough Building, located at 522 Congress Avenue, Austin, Texas, from 9 a.m. to 1 p.m. CT. The event will be open to the public and webcast live on the SEC’s...
2025-12-10 1:45 PM EST