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Tuesday, September 16, 2025

SEC to Host Webinar for Large Firms on Regulation S-P

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The Securities and Exchange Commission today announced it will hold a series of three compliance outreach events regarding the 2024 adoption...

SEC Announces Four New Members of Investor Advisory Committee

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The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. The new member...
Thursday, September 11, 2025

SEC Investor Advisory Committee to Host Panels to Discuss Reconsideration of the Eligibility Criteria and Regulatory Treatment of Foreign Private Issuers

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The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. o...
Wednesday, September 10, 2025

James Moloney Named Director of Division of Corporation Finance

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The Securities and Exchange Commission today announced that James J. Moloney, a longtime and highly respected legal counsel to public compan...
Monday, September 8, 2025

SEC Crypto Task Force to Host Roundtable on Financial Surveillance and Privacy

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The Securities and Exchange Commission’s Crypto Task Force announced today it will host a public roundtable on financial surveillance and pr...
Friday, September 5, 2025

SEC Announces Formation of Cross-Border Task Force to Combat Fraud

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The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforc...

SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29

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The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harm...
Wednesday, September 3, 2025

SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme

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The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and P...
Tuesday, September 2, 2025

SEC and CFTC Staff Issue Joint Statement On Trading Of Certain Spot Crypto Asset Products

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Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement reg...
Wednesday, August 27, 2025

SEC Announces Agenda and Panelists for Roundtable on Trade-Through Prohibitions

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The Securities and Exchange Commission today announced the agenda and panelists for its September 18, 2025 roundtable on trade-through prohi...