Staff Issues FAQs to Help Broker-Dealers Implement Financial Responsibility Requirements Related to U.S. Treasury Clearing

The Securities and Exchange Commission’s Division of Trading and Markets today issued answers to Frequently Asked Questions (FAQs) that broker-dealers have posed to the staff regarding rule amendments to the customer protection rule related to the…

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Securities and Exchange Commission Division of Corporation Finance Issues Staff Statement on Certain Liquid Staking Activities

The Securities and Exchange Commission’s Division of Corporation Finance today issued a statement regarding certain liquid staking activities. This statement aims to provide greater clarity on the application of federal securities laws to crypto assets,…

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SEC Creates Task Force to Tap Artificial Intelligence for Enhanced Innovation and Efficiency Across the Agency

The Securities and Exchange Commission today announced the launch of a task force on artificial intelligence (AI) that will spearhead the agency’s efforts to enhance innovation and efficiency in its operations through the responsible use of AI. Valerie…

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On the Road: SEC Crypto Task Force to Host a Series of Roundtables Across the U.S.

The Securities and Exchange Commission announced today that its Crypto Task Force will host a series of roundtables across the country to provide opportunities for additional stakeholders to meet with Commissioner Hester Peirce, who leads the Crypto Task…

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SEC Permits In-Kind Creations and Redemptions for Crypto ETPs

The Securities and Exchange Commission today voted to approve orders to permit in-kind creations and redemptions by authorized participants for crypto asset exchange-traded product (ETP) shares. The orders approved today reflect a departure from…

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SEC Announces George Botic to Serve as Acting Chair of the Public Company Accounting Oversight Board

The Securities and Exchange Commission announced today that it has designated George R. Botic to serve as Acting Chair of the Public Company Accounting Oversight Board, effective July 23, 2025. Current PCAOB Chair Erica Y. Williams has resigned from the…

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SEC Announces Roundtable on Trade-Through Prohibitions

The Securities and Exchange Commission announced today that it will host a roundtable on September 18, 2025, to discuss trade-through prohibitions in the National Market System (NMS) stock and listed options markets.  “Reg NMS and its Rule 611 have…

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SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme

The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…

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SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the public…

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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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