U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F…
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity…
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