SEC's 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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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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Katherine Reilly Named SEC Acting Inspector General

The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has…

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SEC Announces Roundtable on Executive Compensation Disclosure Requirements

The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, including…

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SEC Announces Agenda, Panelists for Roundtable on Tokenization Plus Date Change for Roundtable on DeFi

The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet.” “Tokenization is a technological development that could…

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SEC Charges Three Texans with Defrauding Investors in $91 Million Ponzi Scheme

The Securities and Exchange Commission today announced charges against Dallas-Fort Worth residents Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner for operating a Ponzi scheme that raised at least $91 million from more than 200 investors…

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SEC Publishes New Market Data, Analysis, and Visualizations

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the key market areas of public issuers, exempt offerings, Commercial Mortgage-Backed Securities (CMBS), Asset-Backed Securities…

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SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme

The Securities and Exchange Commission today charged Ramil Palafox for orchestrating a fraudulent scheme that raised approximately $198 million from investors worldwide and for misappropriating more than $57 million of investor funds. According to the…

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Paul S. Atkins Sworn In as SEC Chairman

Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, 2025, and confirmed by the U.S. Senate on April 9, 2025. “I am honored…

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SEC Awards $6 Million to Joint Whistleblowers

The Securities and Exchange Commission today announced an award of approximately $6 million to joint whistleblowers who provided new information that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in…

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SEC Small Business Advisory Committee to Explore Regulation A

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. Members of the…

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SEC Announces Agenda, Panelists for Roundtable on Crypto Custody

The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody.” “It is important for the SEC to grapple with custody issues…

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SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements

The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related…

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SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial…

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SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds

The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds.   “It is important that…

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SEC Announces Agenda, Panelists for Roundtable on Crypto Trading

The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading.” “Hearing the public’s concerns and…

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By Building Wealth, Investors Power U.S. Economy

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and…

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SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex

The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the…

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SEC Votes to End Defense of Climate Disclosure Rules

The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and…

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SEC Crypto Task Force to Host Four More Roundtables

The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. The dates and topics for each roundtable are as follows: April 11, 2025…

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