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Finance News
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SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-21T12:51:10.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-19T14:55:00.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-18T16:33:00.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-06T23:24:19.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-05T20:23:55.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-05-05T15:54:00.000Z. Fetched: 2026-05-25T06:49:32.706Z.
Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-30T20:30:36.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-20T14:45:00.000Z. Fetched: 2026-05-25T06:49:32.706Z.
Chairman Atkins Launches 'Material Matters' Podcast
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-16T17:02:47.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-16T15:45:04.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-16T13:55:00.000Z. Fetched: 2026-05-25T06:49:32.706Z.
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury…
Source: U.S. Securities and Exchange Commission. Published: 2026-04-15T19:45:51.000Z. Fetched: 2026-05-25T06:49:32.706Z.