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
2026-01-12 3:10 PM EST | Newsfile SEC Press Digest
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 inter
2026-01-09 1:52 PM EST | Newsfile SEC Press Digest
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
2026-01-08 6:38 PM EST | Newsfile SEC Press Digest
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. Th
2026-01-07 6:49 PM EST | Newsfile SEC Press Digest
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 dee
2025-12-29 3:27 PM EST | Newsfile SEC Press Digest
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
2025-12-29 12:36 PM EST | Newsfile SEC Press Digest
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.
2025-12-22 5:13 PM EST | Newsfile SEC Press Digest
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’
2025-12-17 3:23 PM EST | Newsfile SEC Press Digest
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 pa
2025-12-17 1:34 PM EST | Newsfile SEC Press Digest
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
2025-12-10 4:02 PM EST | Newsfile SEC Press Digest
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
2025-12-10 1:45 PM EST | Newsfile SEC Press Digest
SEC Announces Departure of OIEA Director Lori J. Schock
Washington, D.C.--(Newsfile Corp. - December 8, 2025) - The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December. “I have known Lori for decades, when I was a Commissioner and now as Chairman, and I have witnessed firsthand her unwavering commitment to provide America’s investors with invaluable inform
2025-12-08 8:55 AM EST | Newsfile SEC Press Digest
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
Washington, D.C.--(Newsfile Corp. - December 5, 2025) - The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy. “New technologies give us a fresh opportunity to recalibrate financial surveillance measures to ensure the protection of our nation an
2025-12-05 12:36 PM EST | Newsfile SEC Press Digest
SEC to Host Webinar for Transfer Agents on Regulation S-P
Washington, D.C.--(Newsfile Corp. - December 5, 2025) - The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for Transfer Agents, is a webinar scheduled for Dec. 17 from 1 p.m. to 2 p.m. ET. The third event in the series, for small firms, will be announced at a later date. The Regulation S-P compliance outreach events are tailored for each re
2025-12-05 10:30 AM EST | Newsfile SEC Press Digest
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
2025-11-25 12:02 PM EST | Newsfile SEC Press Digest
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
2025-11-25 9:10 AM EST | Newsfile SEC Press Digest
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
2025-11-21 11:12 AM EST | Newsfile SEC Press Digest
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,
2025-11-21 9:50 AM EST | Newsfile SEC Press Digest
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 p
2025-11-17 4:17 PM EST | Newsfile SEC Press Digest
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.
2025-11-13 3:14 PM EST | Newsfile SEC Press Digest