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
SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
Washington, D.C.--(Newsfile Corp. - May 18, 2026) - The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the defendant or respondent also agrees not to publicly deny the allegations in the complaint or administrative order. Rescinding Rule 202.5(e) aligns the Commission with the overwhelming majority...
2026-05-18 4:28 PM EDT
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