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SEC Approves 2026 PCAOB Budget and Accounting Support Fee

SEC Approves 2026 PCAOB Budget and Accounting Support Fee

SEC Approves 2026 PCAOB Budget and Accounting Support Fee
The Securities and Exchange Commission today approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) and the related accounting support fee.The 2026 PCAOB budget totals $362.1 million. The 2026 budget reflects a 9.4% ($37.6…

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SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market

SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market

SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be…

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SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era

SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era

SEC and CFTC to Hold Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the…

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SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud

SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud

SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
The Securities and Exchange Commission today filed settled charges against Archer-Daniels-Midland Company (ADM) and its former executives, Vince Macciocchi and Ray Young, and a litigated action against its former executive Vikram Luthar, for …

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SEC Appoints New Chairman and Board Members to PCAOB

SEC Appoints New Chairman and Board Members to PCAOB

SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George…

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SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers

SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers

SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and…

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SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy

SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy

SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. …

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SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings

SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings

SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings

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SEC’s Division of Enforcement Announces Updates to Enforcement Manual

SEC’s Division of Enforcement Announces Updates to Enforcement Manual

SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations…

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SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates

SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates

SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET…

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SEC, FSA Hold Spring Financial Regulatory Dialogue

SEC, FSA Hold Spring Financial Regulatory Dialogue

SEC, FSA Hold Spring Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…

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SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act

SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act

SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions…

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SEC Announces Roundtable on Options Market Structure Reform

SEC Announces Roundtable on Options Market Structure Reform

SEC Announces Roundtable on Options Market Structure Reform
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and…

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SEC Investor Advisory Committee to Host March 12 Meeting

SEC Investor Advisory Committee to Host March 12 Meeting

SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…

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SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies

SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies

SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection.

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SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency

SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency

SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March…

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SEC Proposes Amendments to Exchange Act Rule 15c2-11

SEC Proposes Amendments to Exchange Act Rule 15c2-11

SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in…

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SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers

SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers

SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…

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SEC Clarifies the Application of Federal Securities Laws to Crypto Assets

SEC Clarifies the Application of Federal Securities Laws to Crypto Assets

SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…

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SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail

SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail

SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act…

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