Cristina Martin Firvida to Conclude Tenure as Investor Advocate
Washington, D.C.--(Newsfile Corp. - November 25, 2025) - The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As the Investor Advocate, Ms. Martin Firvida has led an office that was established by Congress to identify, analyze, and address the concerns of investors, providing them a voice and ensuring...
2025-11-25 12:02 PM EST
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
Washington, D.C.--(Newsfile Corp. - November 25, 2025) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels: Regulatory Changes in Corporate Governance Tokenization of Equities: How Issuance, Trading, and Settlement Would Work with Existing Regulation The committee will also discuss a potential recommendation regarding the...
2025-11-25 9:10 AM EST
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
Washington, D.C.--(Newsfile Corp. - November 21, 2025) - The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy roundtable, previously scheduled for Oct., to Monday, Dec. 15, 2025. “I am looking forward to getting this event back on the calendar before the end of the year. Given the many threats to people’s privacy, developing sound policies is of paramount importance,” said Commissioner Hester M. Peirce, head of the Crypto Task...
2025-11-21 11:12 AM EST
SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
Washington, D.C.--(Newsfile Corp. - November 21, 2025) - The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18, 2025, Roundtable on Trade-Through Prohibitions. The roundtable will be open to the public and held at the University of Austin’s campus at the Scarbrough Building, located at 522 Congress...
2025-11-21 9:50 AM EST
SEC Division of Examinations Announces 2026 Priorities
Washington, D.C.--(Newsfile Corp. - November 17, 2025) - The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the Division plans to focus on in the new fiscal year and to encourage firms to direct their compliance efforts on areas of potentially heightened risk. “Examinations are an important component...
2025-11-17 4:17 PM EST
Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
Washington, D.C.--(Newsfile Corp. - November 13, 2025) - The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in her different roles in the Division of Enforcement and her commitment to the staff and the SEC’s mission,” said SEC Division of Enforcement Director Margaret A. Ryan. “Her strategic counsel...
2025-11-13 3:14 PM EST
SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
Washington, D.C.--(Newsfile Corp. - October 31, 2025) - The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows: Rules 600(b)(89)(i)(F) and 612 of Regulation NMS implementing the amended minimum pricing increment: Until the first business day of November 2026. Rule 610(c) of Regulation NMS implementing...
2025-10-31 1:12 PM EDT
SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director since January 16, 2024. “I want to thank Stacey for the excellent work and leadership she has provided the Office of the Advocate for Small Business Capital Formation,” said Chairman Paul...
2025-09-30 9:31 PM EDT
SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff statements, and other related materials at their fingertips. The SEC adopted the rule changes in December 2023. To provide additional time for further engagement on compliance,...
2025-09-30 12:40 PM EDT
SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today issued an order granting conditional exemptive relief related to certain requirements of the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan), Rule 613 of Regulation NMS, and Rule 17a-1 under the Securities Exchange Act of 1934. This conditional exemptive relief allows the self-regulatory organizations that are the participants to the CAT NMS Plan to...
2025-09-30 11:22 AM EDT
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
Washington, D.C.--(Newsfile Corp. - September 26, 2025) - The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally. The concept release notes there have been no public RMBS offerings since 2013, yet they are an important part of a healthy mortgage market because they provide access to a wider range...
2025-09-26 3:45 PM EDT
SEC Announces Departure of Chief Operating Officer Ken Johnson
Washington, D.C.--(Newsfile Corp. - September 24, 2025) - The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two decades,” said Chairman Paul S. Atkins. “I have had the pleasure of knowing him both as a Commissioner and now as Chairman. He has served this agency and the country with ultimate...
2025-09-24 3:36 PM EDT
SEC Announces Agenda, Panelists for SEC-CFTC Roundtable on Regulatory Harmonization Efforts
Washington, D.C.--(Newsfile Corp. - September 24, 2025) - The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the agenda and panelists for their joint September 29 roundtable on regulatory harmonization efforts. The roundtable, announced earlier this month, will be held at the SEC's headquarters at 100 F Street, N.E., Washington, D.C. from 1 p.m. to 5:30 p.m. The event will be open to the public and webcast live on the SEC’s website. Doors will...
2025-09-24 1:06 PM EDT
Jon Kroeper Named Deputy Director of the Division of Trading and Markets
Washington, D.C.--(Newsfile Corp. - September 24, 2025) - The Securities and Exchange Commission today announced that Jon Kroeper has been named deputy director of the agency’s Division of Trading and Markets, effective Sept. 29. Mr. Kroeper twice served at the SEC before joining the Financial Industry Regulatory Authority (FINRA), where he worked from 2007 to 2024 as executive vice president in the market regulation department. He led a team of more than 280 analysts, investigators, and...
2025-09-24 11:04 AM EDT
Small Business Forum Report to Congress Highlights Recommendations to Improve Capital Raising
Washington, D.C.--(Newsfile Corp. - September 22, 2025) - The Securities and Exchange Commission released a report to Congress summarizing policy recommendations made during the SEC’s 44th Annual Small Business Forum. The report provides a summary of the forum proceedings, recommendations developed by participants for changes to the capital raising framework, and the Commission’s responses to those recommendations. The forum took place on April 10, 2025, and featured speakers with a breadth...
2025-09-22 3:11 PM EDT
SEC Approves Generic Listing Standards for Commodity-Based Trust Shares
Washington, D.C.--(Newsfile Corp. - September 17, 2025) - The Securities and Exchange Commission today voted to approve proposed rule changes by three national securities exchanges to adopt generic listing standards for exchange-traded products that hold spot commodities, including digital assets. As a result, the exchanges may list and trade Commodity-Based Trust Shares that meet the requirements of the approved generic listing standards without first submitting a proposed rule change to the...
2025-09-17 6:05 PM EDT
SEC Issues Policy Statement Clarifying that Mandatory Arbitration Provisions Will Not Affect Effectiveness of Registration Statements
Washington, D.C.--(Newsfile Corp. - September 17, 2025) - The Securities and Exchange Commission today published a policy statement to announce that decisions about whether to accelerate the effectiveness of a registration statement will not be affected by the presence of a provision requiring arbitration of investor claims arising under the federal securities laws. “As an agency that trumpets the importance of disclosure and transparency, the Commission’s lack of a recent public position on...
2025-09-17 4:59 PM EDT
SEC and CFTC Extend Form PF Compliance Date to Oct. 1, 2026
Washington, D.C.--(Newsfile Corp. - September 17, 2025) - The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the confidential reporting form used by certain private fund advisers. The Commissions extended the compliance date to Oct. 1, 2026. The Form PF amendments were adopted in February 2024 and the original compliance date was March 12, 2025. The compliance...
2025-09-17 1:38 PM EDT
SEC to Host Webinar for Large Firms on Regulation S-P
Washington, D.C.--(Newsfile Corp. - September 16, 2025) - The Securities and Exchange Commission today announced it will hold a series of three compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The first event, for large firms, is a webinar scheduled for Sept. 25 from 1 p.m. to 2 p.m. ET. The other two events, for transfer agents and small firms, will be announced at a later date. The Regulation S-P compliance outreach events will be tailored for each...
2025-09-16 4:06 PM EDT
SEC Announces Four New Members of Investor Advisory Committee
Washington, D.C.--(Newsfile Corp. - September 16, 2025) - The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 16 current committee members. The committee, established pursuant to Section 39 of the Securities Exchange Act of 1934, advises the Commission on regulatory priorities and initiatives to protect investors and promote the integrity of the U.S. securities...
2025-09-16 8:54 AM EDT