SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the…

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SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement

The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require certain…

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SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026

The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026…

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Regulators to Hold Outreach Event for Municipal Market Professionals

The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event…

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Kevin Muhlendorf Named SEC Inspector General

The Securities and Exchange Commission today announced that Kevin Muhlendorf will be the agency’s new Inspector General, effective July 28. Mr. Muhlendorf is a former SEC and Justice Department attorney who for the past nine years has been a partner in…

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SEC Announces Departure of David Saltiel

The Securities and Exchange Commission today announced that David Saltiel, who has served as Acting Director of the Division of Trading and Markets, will depart the agency effective July 4, 2025. He has served as Acting Director since December 2024, and…

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Brian Daly Named Director of Division of Investment Management

The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8. Mr. Daly brings decades of experience serving in…

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SEC Names Jamie Selway as Director of Trading and Markets

The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025. “I’d like to welcome Jamie to the SEC,” said…

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Further Extension of Form PF Amendments Compliance Date

The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, today voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for…

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SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirements

The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 1 p.m. – 5:…

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