Securities and Exchange Commission

In the last 8 hours
Richard ‘HEX’ Heart arrested in Turkey running another crypto scam CoinGeek03:37
Perpetuals.com Targets U.S. Stock Tokenization Under SEC Innovation Plan CoinEdition03:12
Earlier today
Kirkland & Ellis Discusses SEC Proposal to Expand and Modernize Retail Fund Access CLS Blue Sky00:57
Yesterday
SEC Proposes Overhaul of Cross-Trading Rule for Registered Funds JD Supra23:51 14-Oct-26
10th Circ. Backs Asset Freeze In SEC Case Against Biotech Law36023:43 14-Oct-26
SEC Approves Trading On Apple, Tesla Performance Metrics Law36019:59 14-Oct-26
Former Wamco co-chief investment officer would pay $3M to resolve allegations of cherry-picking Compliance Week18:49 14-Oct-26
Pharma Firm Reven Loses Bid to Lift SEC’s Asset Freeze on Appeal Bloomberg Law17:55 14-Oct-26
The Custody Rule Is Back (Part II): Crypto Finally Gets Its Own Lane JD Supra16:42 14-Oct-26
Governance & Sustainability Roundup – October 14, 2026 JD Supra16:32 14-Oct-26
SEC Approves Cboe’s KPI Prediction-Market Bets Via Robinhood (1) Bloomberg Law16:20 14-Oct-26
SEC Proposes Amendments to Expand Retail Access to Private Markets National Law Review16:09 14-Oct-26
SEC Clears Cboe KPI Options, with Robinhood Set for Retail Launch Finance Magnates15:22 14-Oct-26
In A Historic Change, SEC Proposes To Rescind Rule 14a-8 And Make Other Modifications To The Proxy Rules JD Supra12:47 14-Oct-26
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding US Exchange Commission11:27 14-Oct-26
SEC Proposes Sweeping Changes To Shareholder Proposal And Proxy Solicitation Rules JD Supra10:44 14-Oct-26
SEC Proposes Changes To Interval Funds, Closed-End Fund Share Classes, And Investment Adviser Performance Fee Rules JD Supra10:44 14-Oct-26
Cizzle Brands Corporation Announces Proposed U.S. Listing and U.S. Underwritten Public Offering … Business Wire (Press Release)08:46 14-Oct-26
Copart Announces Expiration of Hart-Scott-Rodino Act Waiting Period to Acquire Acv Business Wire (Press Release)08:02 14-Oct-26
SkyAI Files to Fund $201 Million Buyback With Solana (SOL) Treasury Sales Coinotag02:32 14-Oct-26
In the last 7 days
SEC Proposes Changes to Adviser Custody Rules, Including New Cryptoasset Custody Framework JD Supra20:03 13-Oct-26
SEC Says Investment Co. Execs Faked Pre-IPO Scarcity Law36018:32 13-Oct-26
SEC Publishes New Examination Handbook JD Supra17:09 13-Oct-26
Kaiser Aluminum Corporation Announces Quarterly Dividend Payment Business Wire (Press Release)16:38 13-Oct-26
Agility Robotics and Churchill Capital Corp Xi S-4 Registration Statement Declared Effective by … Business Wire (Press Release)16:37 13-Oct-26
Heart Monitor Firm Notifying at Least 370,000 Patients of Hack InfoRiskToday15:30 13-Oct-26
KuCoin Nigeria gains conditional approval from Nigeria’s SEC The Next Web11:38 13-Oct-26
SEC Proposes Crypto Custody Framework with Major Changes to the Advisers Act Custody Rule JD Supra10:11 13-Oct-26
Linqto Executives Hit With SEC Lawsuit Over Pre-IPO ‘Unicorns’ Bloomberg Law10:04 13-Oct-26
PlusAI and Texas Ventures Acquisition III Corp Announce Filing of Registration Statement on… Business Wire (Press Release)08:08 13-Oct-26
Five Hundred Words or a Contentious New Landscape: The Corporate Choice on Rule 14a-8 The Harvard Law School Forum on Corporate Governance07:36 13-Oct-26
SEC Paves the Way for Blockchain Stock Trading in Landmark Shift Kiplinger.com06:57 13-Oct-26
SEC okays 3x leveraged ETFs, mulls first tokenized equities CoinGeek05:11 13-Oct-26
A Roadmap for Rule 144 JD Supra15:28 12-Oct-26
Nasdaq Files Proposed Rule Change Regarding the $5 Million Mvls Continued Listing Requirement Amid SEC Stay National Law Review14:22 12-Oct-26
Three New SEC Cases Show Continued Scrutiny Of AI-Washing Claims JD Supra13:46 12-Oct-26
Jeremiah Silkowski and Sqn Capital Management Voluntarily Settle with SEC, Exit Advisory… PR Newswire (Press Release)13:42 12-Oct-26
SEC scrutiny unlikely to halt European pension funds’ climate collaboration Investment & Pensions Europe11:01 12-Oct-26
Brg Expands Markets Compliance Capabilities with Three New Hires PR Newswire (Press Release)09:00 12-Oct-26
Market Manipulation Damages CLS Blue Sky02:26 12-Oct-26
Skadden Discusses Major Changes to Federal Proxy Rules CLS Blue Sky02:26 12-Oct-26
Franklin Templeton Seeks SEC Exemptions for Tokenized ETF Trading in Bitcoin (BTC) Market Rules Coinotag23:13 9-Oct-26
SEC Proposes Restoring Funds' Ability To Cross-Trade Bonds Law36018:40 9-Oct-26
SEC Staff Statement Highlights Valuation and Disclosure Expectations for Private Credit and Other Illiquid Assets JD Supra17:15 9-Oct-26
Proposed SEC Amendments Aim to Expand Retail, Individual Investor Access to Private Markets JD Supra17:05 9-Oct-26
Tokenized Trading in Company Stock: What Public Companies Need to Know JD Supra16:14 9-Oct-26
SEC tests new framework for on-chain trading of certain tokenized stocks JD Supra15:03 9-Oct-26
Thai mutual funds can buy local bitcoin and ether ETFs from October 16 Cryptopolitan14:54 9-Oct-26
SEC Proposes New Crypto Custody Framework for Registered Investment Advisers and Regulated Funds JD Supra14:53 9-Oct-26
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets JD Supra14:32 9-Oct-26
SEC Issues Warning to Investment Firms That Challenged ExxonMobil InsideClimate News13:46 9-Oct-26
$1.1 Billion for Five Warner Bros. Execs: Who Cashed Out From Paramount Sale Hollywood Reporter11:08 9-Oct-26
Thailand SEC Sets Oct. 16 Start for Bitcoin, Ethereum ETFs CoinMarketCap Alexandria11:07 9-Oct-26
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds US Exchange Commission11:06 9-Oct-26
IT Tech Packaging, Inc. Announces NYSE Regulation Acceptance of Extension Request; Listing… PR Newswire (Press Release)09:20 9-Oct-26
SEC Moves to Scrap Investment Adviser ‘Pay-to-Play’ Rule JD Supra00:15 9-Oct-26
Crescent Energy Company Announces Pricing of Public Offering of Class A Common Stock Business Wire (Press Release)22:07 8-Oct-26
SEC Enforcement Update: SEC and FDA Formalize Information-Sharing Framework JD Supra15:03 8-Oct-26
Mercury General Corporation To Report Third Quarter Results On November 3, 2026 PR Newswire (Press Release)13:16 8-Oct-26
How Public Companies Should Prepare for Tokenized Securities JD Supra12:51 8-Oct-26
What the Treasury and SEC Can Teach CFOs About Fraud PYMNTS.com11:52 8-Oct-26
SEC Creates Five-year Conditional Innovation Exemption For Onchain Trading Of Tokenized U.S. Exchange-listed Stocks JD Supra11:30 8-Oct-26
SEC Proposes Rule Changes to Facilitate Retail Access to Private Investments JD Supra09:58 8-Oct-26
Inside the New SEC Exam Handbook: Practical Takeaways for Registered Firms JD Supra09:58 8-Oct-26
SEC Looks to Reform the Proxy Process: A Welcome Development for Listed Closed-End Funds and BDCs The Harvard Law School Forum on Corporate Governance07:33 8-Oct-26
Crescent Energy Company Announces Public Offering of Class A Common Stock Business Wire (Press Release)07:30 8-Oct-26
SEC proposes crypto custody rules for investment advisers and funds The Paypers06:03 8-Oct-26
SEC warns asset managers over activist campaign coordination HedgeWeek04:47 8-Oct-26
24X National Exchange Plans to Expand Warrant Performance Incentive Program PR Newswire (Press Release)01:02 8-Oct-26
Cleary Discusses SEC’s Fair Value Measurement, Disclosure Factors for Private Assets CLS Blue Sky00:32 8-Oct-26
In the last month
SEC Says Adviser Cherry-Picked Best Trades For His Account Law36021:39 7-Oct-26
SEC Says Climate-Tied Investor Actions May Pose Legal Risk Law36019:37 7-Oct-26
Egan-Jones Taps Ex-SEC Examiner To Oversee Ratings Law36019:37 7-Oct-26
SEC Staff Issues No-Action Relief Permitting Fund Directed Voting Programs JD Supra17:39 7-Oct-26
Medtronic Announces Final Exchange Ratio of 4.5939 in Split-Off of MiniMed Group, Inc. PR Newswire (Press Release)17:34 7-Oct-26
Copper Property Ctl Pass Through Trust Issues Monthly Reporting Package for September 2026 Business Wire (Press Release)16:35 7-Oct-26
SOS Limited Reports 2026 Interim Financial Results PR Newswire (Press Release)16:11 7-Oct-26
Top 10 International Anti-Corruption Developments for September 2026 JD Supra16:06 7-Oct-26
SEC Issues Guidance on Fair Value Measurement and Disclosure for Private Credit and Other Private Assets for… JD Supra15:15 7-Oct-26
SEC Warns Activist Investors After Climate Push at Exxon Mobil Bloomberg Law14:13 7-Oct-26
The SEC’s “Innovation Exemption” for the Tokenization of Securities and What It Means for Public Companies JD Supra12:43 7-Oct-26
SEC Proposes Crypto Custody Rules for Investment Advisers and Regulated Funds, Including a Path to Self-Custody JD Supra12:02 7-Oct-26
Egan-Jones Hires Former SEC Watchdog to Oversee Ratings Unit Bloomberg Law11:20 7-Oct-26
US SEC will not pursue charges against climate group, warns of disclosure obligations The Economic Times11:05 7-Oct-26
Egan-Jones Ratings Company Appoints Kenneth L. Godwin as Senior Director, Ratings PR Newswire (Press Release)08:57 7-Oct-26
Bitcoin, Ether, Oil, Gold: Volatility Shares Cracks the SEC Code to Bring 3x ETFs Back Benzinga08:43 7-Oct-26
Frasers Group snaps up share in Under Armour Drapers02:55 7-Oct-26
Former Western Asset Bond Chief Ken Leech Agrees to $3 Million SEC Penalty Finance Magnates02:16 7-Oct-26
Cahill Discusses SEC’s “Innovation Exemption” for Tokenized Stock Trading CLS Blue Sky01:49 7-Oct-26
SEC Says Fintech Inflated Revenue In $6.7M Seed Raise Law36020:53 6-Oct-26
Ken Leech Agrees to $3 Million SEC Fine Over Cherry-Picking Case Bloomberg Law19:31 6-Oct-26
SEC Staff Expands No-Action Relief for Retail Voting Programs JD Supra18:30 6-Oct-26
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case US Exchange Commission17:51 6-Oct-26
Winklevoss files Zcash ETF at 0.25% fee, undercutting Grayscale tenfold Cryptopolitan17:33 6-Oct-26
Kbra Assigns Rating to $100 Million Senior Unsecured Notes Issued by South Street Securities… Business Wire (Press Release)17:19 6-Oct-26
SEC Proposes Amendments Addressing Retailization; Modernizing Regulated Funds and Performance-Based Compensation JD Supra17:18 6-Oct-26
SEC Approves FINRA Rule 3290, Reshaping Outside Activity Rules for Broker-Dealers JD Supra15:36 6-Oct-26
Winklevoss Files for Spot Zcash (ZEC) ETF WINK With $100 Million Backing Pledge Coinotag14:39 6-Oct-26
SEC Proposes Sweeping Performance Fee Eligibility Reforms and New Accredited Investor Pathways JD Supra12:19 6-Oct-26
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers US Exchange Commission11:55 6-Oct-26
The SEC Is Watching American Investors' Trades. That's a Privacy Nightmare. Reason11:30 6-Oct-26
SEC and CFTC Advance Targeted Crypto Relief as CLARITY Stalls JD Supra11:08 6-Oct-26
Tele-Vision: How Recent FDA and SEC Actions Forecast a Sharper Focus on Telehealth Prescribing Models JD Supra10:17 6-Oct-26
What Does the SEC’s 3x Leveraged Bitcoin and Ethereum ETPs Approval Mean for Crypto Users? CoinEdition08:38 6-Oct-26
Datavault AI Appoints Christopher R. Hardt as Independent Director Following Nyiax Acquisition Business Wire (Press Release)07:57 6-Oct-26
Everli, a Leading Italian E-Grocery Marketplace, Advances Toward Nasdaq Listing as SEC Declares … Business Wire (Press Release)04:01 6-Oct-26
SEC Issues Statement on Fair Value Measurement and Disclosure Considerations for Private Assets CLS Blue Sky02:46 6-Oct-26
SEC Lets Cboe List 3x Products Power Corridor00:08 6-Oct-26
SEC Staff Statement on Fair Value Measurement and Disclosure Considerations for Private Assets JD Supra23:25 5-Oct-26
SEC Says Ex-Tech CEO Faked Consulting Deals For Family Law36021:09 5-Oct-26
OKX Files For Tokenized Stock Trading Under SEC Exemption Law36020:38 5-Oct-26
DayOne Files Registration Statement for Proposed Initial Public Offering PR Newswire (Press Release)17:28 5-Oct-26
The Innovation Exemption Arrives: SEC Clears a Conditional Path for Onchain Trading of Tokenized NMS Stocks JD Supra16:57 5-Oct-26
SEC Staff Issues No-Action Relief for “Zero Cash Balance” Brokerage Account Models JD Supra16:57 5-Oct-26
Okx and ICE File to Trade 63 Tokenized NYSE Stocks CryptoPotato.com16:30 5-Oct-26

      
            
      
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15 Oct 03:37
   

Securities and Exchange Commission News

Latest news on the SEC, or the Securities and Exchange Commission, an independent federal agency that regulates the securities markets and protects investors in the United States. It was created in 1934 as part of the New Deal program to prevent another market crash like the one that occurred in 1929. The SEC has five main functions: to enforce federal securities laws, to oversee the securities industry and its participants, to promote fair and efficient markets, to facilitate capital formation, and to protect the interests of investors.

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