Cristina Martin Firvida to Conclude Tenure as Investor Advocate

The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…

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SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate…

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SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy

The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy roundtable, previously scheduled for Oct., to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar before…

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SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin

The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,…

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SEC Division of Examinations Announces 2026 Priorities

The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…

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Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC

The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in…

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SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS

The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…

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SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers

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…

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SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules

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…

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SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail

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…

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