Pages

▼
Friday, October 31, 2025

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...
Tuesday, September 30, 2025

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 ...

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 cent...

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 Na...
Friday, September 26, 2025

SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities

›
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules gover...
Wednesday, September 24, 2025

SEC Announces Departure of Chief Operating Officer Ken Johnson

›
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since Decembe...

SEC Announces Agenda, Panelists for SEC-CFTC Roundtable on Regulatory Harmonization Efforts

›
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the agenda and panelists for their joint ...

Jon Kroeper Named Deputy Director of the Division of Trading and Markets

›
The Securities and Exchange Commission today announced that Jon Kroeper has been named deputy director of the agency’s Division of Trading a...
Monday, September 22, 2025

Small Business Forum Report to Congress Highlights Recommendations to Improve Capital Raising

›
The Securities and Exchange Commission released a report to Congress summarizing policy recommendations made during the SEC’s 44th Annual Sm...
Wednesday, September 17, 2025

SEC Approves Generic Listing Standards for Commodity-Based Trust Shares

›
The Securities and Exchange Commission today voted to approve proposed rule changes by three national securities exchanges to adopt generic ...