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Wednesday, December 10, 2025

SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord

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The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Dig...

SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS

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The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation ...
Monday, December 8, 2025

SEC Announces Departure of OIEA Director Lori J. Schock

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The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Educati...
Friday, December 5, 2025

SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy

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The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financia...

SEC to Host Webinar for Transfer Agents on Regulation S-P

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The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 202...
Tuesday, November 25, 2025

Cristina Martin Firvida to Conclude Tenure as Investor Advocate

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The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Inv...

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

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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 ...
Friday, November 21, 2025

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

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The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy roundtable, previously sch...

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

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The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NM...
Monday, November 17, 2025

SEC Division of Examinations Announces 2026 Priorities

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The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its...