SEC

The Securities and Exchange Commission has reported its enforcement results for the fiscal year ending September 30, 2025, highlighting its efforts to protect investors and maintain fair markets.

The SEC has announced the agenda and panelists for its April 16, 2026, roundtable on options market structure, aiming to discuss current issues and improvements.

The SEC's Office of Investor Education and Assistance is highlighting financial planning resources during National Financial Literacy Month to promote financial independence.

The SEC has approved an amendment to the National Market System Plan to reduce costs associated with the Consolidated Audit Trail, aiming to enhance market transparency and efficiency.

The SEC has issued guidance clarifying how federal securities laws apply to crypto assets, aiming to help market participants understand their regulatory obligations.

The SEC's Division of Economic and Risk Analysis has released a report on security-based swap dealers and updated data on IPOs, follow-on offerings, municipal advisors, and transfer agents.

The SEC has proposed changes to Exchange Act Rule 15c2-11 to improve transparency and information reliability for investors in the OTC market.

Judge Margaret A. Ryan has resigned as Director of the SEC's Division of Enforcement. Sam Waldon will serve as Acting Director starting in March.

The SEC and CFTC have signed a memorandum of understanding to enhance coordination and collaboration, focusing on lawful innovation and market integrity while protecting investors.

Thinking of launching a crypto ETF? The SEC just made the rulebook clearer. On July 01, 2025, the U.S. Securities and Exchange Commission (SEC) issued new guidance outlining exactly what crypto ETF issuers need to disclose.…