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,”
2025-09-30 9:31 PM EDT | Newsfile SEC Press Digest
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
2025-09-30 12:40 PM EDT | Newsfile SEC Press Digest
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 expediti
2025-09-30 11:22 AM EDT | Newsfile SEC Press Digest
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
2025-09-26 3:45 PM EDT | Newsfile SEC Press Digest
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 countr
2025-09-24 3:36 PM EDT | Newsfile SEC Press Digest
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
2025-09-24 1:06 PM EDT | Newsfile SEC Press Digest
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, investigato
2025-09-24 11:04 AM EDT | Newsfile SEC Press Digest
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 recommendation
2025-09-22 3:11 PM EDT | Newsfile SEC Press Digest
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 | Newsfile SEC Press Digest
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 p
2025-09-17 4:59 PM EDT | Newsfile SEC Press Digest
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
2025-09-17 1:38 PM EDT | Newsfile SEC Press Digest
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 ea
2025-09-16 4:06 PM EDT | Newsfile SEC Press Digest
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 marke
2025-09-16 8:54 AM EDT | Newsfile SEC Press Digest
SEC Investor Advisory Committee to Host Panels to Discuss Reconsideration of the Eligibility Criteria and Regulatory Treatment of Foreign Private Issuers
Washington, D.C.--(Newsfile Corp. - September 11, 2025) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on Sept. 18, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panel discussions on reconsidering the eligibility criteria and regulatory treatment of foreign private issuers. The committee will also discuss a
2025-09-11 5:30 PM EDT | Newsfile SEC Press Digest
James Moloney Named Director of Division of Corporation Finance
Washington, D.C.--(Newsfile Corp. - September 10, 2025) - The Securities and Exchange Commission today announced that James J. Moloney, a longtime and highly respected legal counsel to public companies worldwide on corporate transactions and corporate governance issues, has been named Director of the agency’s Division of Corporation Finance, effective next month. Cicely LaMothe, who has served as Acting Director, will return to her role as a Deputy Director of the Division.
2025-09-10 11:16 AM EDT | Newsfile SEC Press Digest
SEC Crypto Task Force to Host Roundtable on Financial Surveillance and Privacy
Washington, D.C.--(Newsfile Corp. - September 8, 2025) - The Securities and Exchange Commission’s Crypto Task Force announced today it will host a public roundtable on financial surveillance and privacy on Friday, October 17 from 1 p.m. to 4 p.m. at the SEC headquarters. Following the Spring Sprint Toward Crypto Clarity series of roundtables, the President̵
2025-09-08 3:31 PM EDT | Newsfile SEC Press Digest
SEC Announces Formation of Cross-Border Task Force to Combat Fraud
Washington, D.C.--(Newsfile Corp. - September 5, 2025) - The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforcement’s efforts to identify and combat cross-border fraud harming U.S. investors. The Cross-Border Task Force will focus initially on investigating potential U.S. federal securities law violations related to foreign-based companies, including potential market manipulation, such as “
2025-09-05 1:52 PM EDT | Newsfile SEC Press Digest
SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29
Washington, D.C.--(Newsfile Corp. - September 5, 2025) - The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harmonization opportunities and announced a joint roundtable to be held on Sept. 29, 2025, from 1 p.m. to 5 p.m. “It is a new day at the SEC and the CFTC, and today we begin a long-await
2025-09-05 9:15 AM EDT | Newsfile SEC Press Digest
SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme
Washington, D.C.--(Newsfile Corp. - September 3, 2025) - The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and Paramount Management Group, LLC, with operating a multi-year Ponzi scheme that resulted in investor losses of approximately $400 million. According to the complaint, from January 2017 through June 2024, Heller and Prestige raised more than $770 million from approxim
2025-09-03 3:58 PM EDT | Newsfile SEC Press Digest
SEC AND CFTC STAFF ISSUE JOINT STATEMENT ON TRADING OF CERTAIN SPOT CRYPTO ASSET PRODUCTS
Washington, D.C.--(Newsfile Corp. - September 2, 2025) - Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement regarding the trading of certain spot crypto asset products. This Joint Statement clarifies staff’s views that SEC- and CFTC- registered exchanges are not prohibited from facilitating the trading of certain spot commodity products. The joint effort exemplifies how staff of the two agencies can co
2025-09-02 4:28 PM EDT | Newsfile SEC Press Digest