https://arrowintsys.com/regulatory-activities Latest press releases, guidance, and enforcement actions from the SEC. Compiled by Arrow AIM. en-us https://www.sec.gov/newsroom/press-releases/2026-66-sec-office-municipal-securities-updates-faqs-registration-municipal-advisors https://www.sec.gov/newsroom/press-releases/2026-66-sec-office-municipal-securities-updates-faqs-registration-municipal-advisors Fri, 10 Jul 2026 00:00:00 GMT The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The… regulatory-guidance registration-statements https://www.sec.gov/newsroom/press-releases/2026-65-sec-host-virtual-roundtable-modernizing-ipos-expanding-access-public-markets https://www.sec.gov/newsroom/press-releases/2026-65-sec-host-virtual-roundtable-modernizing-ipos-expanding-access-public-markets Wed, 08 Jul 2026 00:00:00 GMT The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine… roundtable ipos investor-protection https://www.sec.gov/newsroom/press-releases/2026-64-sec-small-business-advisory-committee-explore-modernizing-market-access https://www.sec.gov/newsroom/press-releases/2026-64-sec-small-business-advisory-committee-explore-modernizing-market-access Wed, 08 Jul 2026 00:00:00 GMT The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs… ipos regulatory-guidance investor-protection https://www.sec.gov/newsroom/press-releases/2026-63-sec-forms-new-retail-fraud-working-group https://www.sec.gov/newsroom/press-releases/2026-63-sec-forms-new-retail-fraud-working-group Tue, 07 Jul 2026 00:00:00 GMT The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group… enforcement retail-investors investor-protection https://www.sec.gov/newsroom/press-releases/2026-62-sec-names-paul-knight-chief-operating-officer https://www.sec.gov/newsroom/press-releases/2026-62-sec-names-paul-knight-chief-operating-officer Mon, 06 Jul 2026 00:00:00 GMT The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC's operational and administrative functions, including the agency's Office of… press-release leadership https://www.sec.gov/newsroom/press-releases/2026-61-sec-publishes-updated-market-statistics-highlighting-increase-ipos-proceeds-raised https://www.sec.gov/newsroom/press-releases/2026-61-sec-publishes-updated-market-statistics-highlighting-increase-ipos-proceeds-raised Wed, 01 Jul 2026 00:00:00 GMT The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance data… ipos asset-backed-securities disclosure https://www.sec.gov/newsroom/press-releases/2026-60-sec-seeks-public-comment-novel-exchange-traded-funds https://www.sec.gov/newsroom/press-releases/2026-60-sec-seeks-public-comment-novel-exchange-traded-funds Tue, 30 Jun 2026 00:00:00 GMT The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation… etfs public-comment rulemaking https://www.sec.gov/newsroom/press-releases/2026-59-sec-cftc-seek-public-comment-harmonization-portfolio-margining-frameworks https://www.sec.gov/newsroom/press-releases/2026-59-sec-cftc-seek-public-comment-harmonization-portfolio-margining-frameworks Fri, 26 Jun 2026 00:00:00 GMT The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,… interagency public-comment market-structure https://www.sec.gov/newsroom/press-releases/2026-58-sec-appoints-kathleen-hutchinson-director-office-international-affairs https://www.sec.gov/newsroom/press-releases/2026-58-sec-appoints-kathleen-hutchinson-director-office-international-affairs Wed, 24 Jun 2026 00:00:00 GMT The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the… leadership press-release https://www.sec.gov/newsroom/press-releases/2026-57-sec-cftc-seek-public-comment-further-clarify-harmonize-derivatives-product-definitions https://www.sec.gov/newsroom/press-releases/2026-57-sec-cftc-seek-public-comment-further-clarify-harmonize-derivatives-product-definitions Thu, 18 Jun 2026 00:00:00 GMT The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and… interagency public-comment rulemaking https://www.sec.gov/newsroom/press-releases/2026-56-sec-cftc-seek-public-input-data-reporting-frameworks-security-based-swap-swap-markets https://www.sec.gov/newsroom/press-releases/2026-56-sec-cftc-seek-public-input-data-reporting-frameworks-security-based-swap-swap-markets Thu, 18 Jun 2026 00:00:00 GMT The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the… interagency public-comment market-surveillance https://www.sec.gov/newsroom/press-releases/2026-55-sec-appoints-john-moses-director-office-investor-education-assistance https://www.sec.gov/newsroom/press-releases/2026-55-sec-appoints-john-moses-director-office-investor-education-assistance Fri, 12 Jun 2026 00:00:00 GMT The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment… leadership investor-protection press-release https://www.sec.gov/newsroom/press-releases/2026-54-sec-proposes-rescission-regulation-nms-rules-611-610e https://www.sec.gov/newsroom/press-releases/2026-54-sec-proposes-rescission-regulation-nms-rules-611-610e Thu, 11 Jun 2026 00:00:00 GMT The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS.“After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than… rulemaking market-structure regulatory-burden https://www.sec.gov/newsroom/press-releases/2026-53-sec-establishes-joint-data-standards-required-under-financial-data-transparency-act-2022 https://www.sec.gov/newsroom/press-releases/2026-53-sec-establishes-joint-data-standards-required-under-financial-data-transparency-act-2022 Mon, 08 Jun 2026 00:00:00 GMT The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional… rulemaking disclosure transparency https://www.sec.gov/newsroom/press-releases/2026-52-sec-announces-new-members-small-business-capital-formation-advisory-committee https://www.sec.gov/newsroom/press-releases/2026-52-sec-announces-new-members-small-business-capital-formation-advisory-committee Thu, 04 Jun 2026 00:00:00 GMT The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current … leadership press-release https://www.sec.gov/newsroom/press-releases/2026-51-sec-publishes-draft-strategic-plan-public-comment https://www.sec.gov/newsroom/press-releases/2026-51-sec-publishes-draft-strategic-plan-public-comment Tue, 02 Jun 2026 00:00:00 GMT The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient… policy-statement public-comment investor-protection https://www.sec.gov/newsroom/press-releases/2026-50-sec-announces-four-new-members-investor-advisory-committee https://www.sec.gov/newsroom/press-releases/2026-50-sec-announces-four-new-members-investor-advisory-committee Mon, 01 Jun 2026 00:00:00 GMT The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the… leadership investor-protection press-release https://www.sec.gov/newsroom/press-releases/2026-49-sec-proposes-rescission-climate-related-disclosure-rules https://www.sec.gov/newsroom/press-releases/2026-49-sec-proposes-rescission-climate-related-disclosure-rules Fri, 29 May 2026 00:00:00 GMT The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s… rulemaking climate-risk regulatory-burden https://www.sec.gov/newsroom/press-releases/2026-48-sec-investor-advisory-committee-host-june-4-meeting https://www.sec.gov/newsroom/press-releases/2026-48-sec-investor-advisory-committee-host-june-4-meeting Wed, 27 May 2026 00:00:00 GMT The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 a.m. ET to discuss private markets, passive index funds, and recommendations regarding fund… investor-protection mutual-funds etfs https://www.sec.gov/newsroom/press-releases/2026-47-sec-nfa-announce-memorandum-understanding-further-harmonize-regulatory-coordination https://www.sec.gov/newsroom/press-releases/2026-47-sec-nfa-announce-memorandum-understanding-further-harmonize-regulatory-coordination Thu, 21 May 2026 00:00:00 GMT The Securities and Exchange Commission and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common… interagency press-release https://www.sec.gov/newsroom/press-releases/2026-46-sec-proposes-transformative-reforms-help-public-companies-conduct-registered-offerings-simplify https://www.sec.gov/newsroom/press-releases/2026-46-sec-proposes-transformative-reforms-help-public-companies-conduct-registered-offerings-simplify Tue, 19 May 2026 00:00:00 GMT The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor… rulemaking registration-statements cost-reduction https://www.sec.gov/newsroom/press-releases/2026-45-sec-rescinds-policy-regarding-denials-settlements-enforcement-actions https://www.sec.gov/newsroom/press-releases/2026-45-sec-rescinds-policy-regarding-denials-settlements-enforcement-actions Mon, 18 May 2026 00:00:00 GMT The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the… enforcement settlement policy-statement https://www.sec.gov/newsroom/press-releases/2026-44-sec-charges-21-individuals-alleged-wide-reaching-insider-trading-scheme https://www.sec.gov/newsroom/press-releases/2026-44-sec-charges-21-individuals-alleged-wide-reaching-insider-trading-scheme Wed, 06 May 2026 00:00:00 GMT The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit… enforcement-action insider-trading press-release https://www.sec.gov/newsroom/press-releases/2026-43-sec-divisions-investment-management-corporation-finance-issue-staff-guidance-supporting-retirement https://www.sec.gov/newsroom/press-releases/2026-43-sec-divisions-investment-management-corporation-finance-issue-staff-guidance-supporting-retirement Tue, 05 May 2026 00:00:00 GMT Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help… regulatory-guidance investor-protection https://www.sec.gov/newsroom/press-releases/2026-42-sec-proposes-amendments-permit-optional-semiannual-reporting-public-companies https://www.sec.gov/newsroom/press-releases/2026-42-sec-proposes-amendments-permit-optional-semiannual-reporting-public-companies Tue, 05 May 2026 00:00:00 GMT The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities… rulemaking disclosure regulatory-burden https://www.sec.gov/newsroom/press-releases/2026-41-deputy-director-enforcement-jason-burt-conclude-his-tenure-sec https://www.sec.gov/newsroom/press-releases/2026-41-deputy-director-enforcement-jason-burt-conclude-his-tenure-sec Thu, 30 Apr 2026 00:00:00 GMT The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service.“Jason’s exceptional leadership… leadership enforcement press-release https://www.sec.gov/newsroom/press-releases/2026-40-sec-cftc-jointly-propose-amendments-reduce-private-fund-reporting-burdens https://www.sec.gov/newsroom/press-releases/2026-40-sec-cftc-jointly-propose-amendments-reduce-private-fund-reporting-burdens Mon, 20 Apr 2026 00:00:00 GMT The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The… interagency regulatory-burden public-comment https://www.sec.gov/newsroom/press-releases/2026-39-chairman-atkins-launches-material-matters-podcast https://www.sec.gov/newsroom/press-releases/2026-39-chairman-atkins-launches-material-matters-podcast Thu, 16 Apr 2026 00:00:00 GMT The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and… press-release transparency https://www.sec.gov/newsroom/press-releases/2026-38-sec-small-business-advisory-committee-explore-ways-encourage-more-ipos https://www.sec.gov/newsroom/press-releases/2026-38-sec-small-business-advisory-committee-explore-ways-encourage-more-ipos Thu, 16 Apr 2026 00:00:00 GMT The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open… ipos public-comment https://www.sec.gov/newsroom/press-releases/2026-37-sec-seeks-public-comment-consolidated-audit-trail-other-audit-trails-data-sources https://www.sec.gov/newsroom/press-releases/2026-37-sec-seeks-public-comment-consolidated-audit-trail-other-audit-trails-data-sources Thu, 16 Apr 2026 00:00:00 GMT The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of… consolidated-audit-trail public-comment market-surveillance https://www.sec.gov/newsroom/press-releases/2026-3-sec-host-hybrid-event-regulation-s-p-small-firms https://www.sec.gov/newsroom/press-releases/2026-3-sec-host-hybrid-event-regulation-s-p-small-firms Fri, 09 Jan 2026 00:00:00 GMT The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is… regulatory-guidance privacy data-security https://www.sec.gov/newsroom/press-releases/2026-2-sec-publishes-staff-report-capital-raising-dynamics https://www.sec.gov/newsroom/press-releases/2026-2-sec-publishes-staff-report-capital-raising-dynamics Thu, 08 Jan 2026 00:00:00 GMT The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics… regulatory-guidance ipos private-placements https://www.sec.gov/newsroom/press-releases/2026-1-sec-proposes-amendments-small-entity-definitions-investment-companies-investment-advisers-purposes https://www.sec.gov/newsroom/press-releases/2026-1-sec-proposes-amendments-small-entity-definitions-investment-companies-investment-advisers-purposes Wed, 07 Jan 2026 00:00:00 GMT The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility… rulemaking investment-advisers regulatory-burden https://www.sec.gov/newsroom/press-releases/2025-146-deputy-director-enforcement-nekia-hackworth-jones-concludes-her-tenure-sec https://www.sec.gov/newsroom/press-releases/2025-146-deputy-director-enforcement-nekia-hackworth-jones-concludes-her-tenure-sec Mon, 29 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025.“I am thankful to Nekia for answering the call to… enforcement leadership https://www.sec.gov/newsroom/press-releases/2025-145-sec-announces-retirement-division-corporation-finance-deputy-director-cicely-lamothe https://www.sec.gov/newsroom/press-releases/2025-145-sec-announces-retirement-division-corporation-finance-deputy-director-cicely-lamothe Mon, 29 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve… disclosure leadership https://www.sec.gov/newsroom/press-releases/2025-144-sec-charges-three-purported-crypto-asset-trading-platforms-four-investment-clubs-scheme-targeted https://www.sec.gov/newsroom/press-releases/2025-144-sec-charges-three-purported-crypto-asset-trading-platforms-four-investment-clubs-scheme-targeted Mon, 22 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment… enforcement-action crypto-assets retail-investors https://www.sec.gov/newsroom/press-releases/2025-143-joshua-t-white-named-sec-chief-economist https://www.sec.gov/newsroom/press-releases/2025-143-joshua-t-white-named-sec-chief-economist Wed, 17 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of… leadership https://www.sec.gov/newsroom/press-releases/2025-142-sec-office-investor-advocate-delivers-congress-report-activities-fiscal-year-2025 https://www.sec.gov/newsroom/press-releases/2025-142-sec-office-investor-advocate-delivers-congress-report-activities-fiscal-year-2025 Wed, 17 Dec 2025 00:00:00 GMT The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An… investor-protection investor-rights https://www.sec.gov/newsroom/press-releases/2025-141-sec-charges-canadian-citizen-fraud-schemes-targeted-retail-investors-discord https://www.sec.gov/newsroom/press-releases/2025-141-sec-charges-canadian-citizen-fraud-schemes-targeted-retail-investors-discord Wed, 10 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities… enforcement-action retail-investors market-manipulation https://www.sec.gov/newsroom/press-releases/2025-140-sec-announces-agenda-panelists-roundtable-rule-611-regulation-nms https://www.sec.gov/newsroom/press-releases/2025-140-sec-announces-agenda-panelists-roundtable-rule-611-regulation-nms Wed, 10 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin… roundtable market-structure regulatory-guidance https://www.sec.gov/newsroom/press-releases/2025-139-sec-announces-departure-oiea-director-lori-j-schock https://www.sec.gov/newsroom/press-releases/2025-139-sec-announces-departure-oiea-director-lori-j-schock Mon, 08 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for… investor-protection leadership https://www.sec.gov/newsroom/press-releases/2025-138-sec-announces-agenda-panelists-roundtable-financial-surveillance-privacy https://www.sec.gov/newsroom/press-releases/2025-138-sec-announces-agenda-panelists-roundtable-financial-surveillance-privacy Fri, 05 Dec 2025 00:00:00 GMT The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance… roundtable crypto-assets privacy https://www.sec.gov/newsroom/press-releases/2025-137-sec-host-webinar-transfer-agents-regulation-s-p https://www.sec.gov/newsroom/press-releases/2025-137-sec-host-webinar-transfer-agents-regulation-s-p Fri, 05 Dec 2025 00:00:00 GMT The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17… regulatory-guidance privacy data-security https://www.sec.gov/newsroom/press-releases/2025-136-cristina-martin-firvida-conclude-tenure-investor-advocate https://www.sec.gov/newsroom/press-releases/2025-136-cristina-martin-firvida-conclude-tenure-investor-advocate Tue, 25 Nov 2025 00:00:00 GMT The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As… investor-protection leadership https://www.sec.gov/newsroom/press-releases/2025-135-sec-investor-advisory-committee-host-dec-4-meeting-regulatory-changes-corporate-governance https://www.sec.gov/newsroom/press-releases/2025-135-sec-investor-advisory-committee-host-dec-4-meeting-regulatory-changes-corporate-governance Tue, 25 Nov 2025 00:00:00 GMT 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 meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate… corporate-governance digital-assets investor-protection https://www.sec.gov/newsroom/press-releases/2025-134-sec-announces-new-date-time-roundtable-financial-surveillance-privacy https://www.sec.gov/newsroom/press-releases/2025-134-sec-announces-new-date-time-roundtable-financial-surveillance-privacy Fri, 21 Nov 2025 00:00:00 GMT The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar… roundtable crypto-assets privacy https://www.sec.gov/newsroom/press-releases/2025-133-sec-announces-roundtable-rule-611-regulation-nms-university-austin https://www.sec.gov/newsroom/press-releases/2025-133-sec-announces-roundtable-rule-611-regulation-nms-university-austin Fri, 21 Nov 2025 00:00:00 GMT The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,… roundtable market-structure regulatory-guidance https://www.sec.gov/newsroom/press-releases/2025-132-sec-division-examinations-announces-2026-priorities https://www.sec.gov/newsroom/press-releases/2025-132-sec-division-examinations-announces-2026-priorities Mon, 17 Nov 2025 00:00:00 GMT The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the… examination-priorities supervision regulatory-guidance https://www.sec.gov/newsroom/press-releases/2025-131-deputy-director-enforcement-antonia-m-apps-conclude-her-tenure-sec https://www.sec.gov/newsroom/press-releases/2025-131-deputy-director-enforcement-antonia-m-apps-conclude-her-tenure-sec Thu, 13 Nov 2025 00:00:00 GMT The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in… enforcement leadership https://www.sec.gov/newsroom/press-releases/2025-130-sec-issues-exemptive-order-regarding-compliance-certain-rules-under-regulation-nms https://www.sec.gov/newsroom/press-releases/2025-130-sec-issues-exemptive-order-regarding-compliance-certain-rules-under-regulation-nms Fri, 31 Oct 2025 00:00:00 GMT The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:… rulemaking market-structure regulatory-guidance