21,177 results found

Today, as required by the Economic Growth, Regulatory Relief, and Consumer Protection Act, the SEC adopted final rules to allow public reporting companies to rely on the Reg A exemption from registration for their securities offerings.

The SEC approved a proposal to amend FINRA Rule 4570. The rule requires a broker-dealer that withdraws from SEC registration to designate a person to act as custodian of the firm's books and records.

The SEC established a comprehensive supervisory cooperation arrangement with the Hong Kong Securities and Futures Commission ("SFC").

The SEC Division of Economic and Risk Analysis and the NYU Salomon Center for the Study of Financial Institutions will host a "dialogue" to examine the effects of Regulation Crowdfunding...

On September 10, 2025, the SEC announced that an open meeting will be held on September 17, 2025 and the agenda items include...

On September 10, 2025, the SEC announced that James J. Moloney, a partner at Gibson Dunn, has been named Director of the agency's Division of Corporation Finance, effective in October.

The SEC named Gurbir S. Grewal its new Director of Enforcement. Mr. Grewal will assume his role on July 26, 2021, succeeding Acting Director Melissa Hodgman.

The SEC named Ahmed Abonamah as its new Director of the Office of Credit Ratings. Mr. Abonamah had served as the Acting Director of the Office of Credit Ratings since October 2020.

The SEC appointed Nicole Creola Kelly as the Chief of the Office of the Whistleblower.

The SEC approved FINRA's Funding Portal rules for entities that intend to function as funding portals in crowdfunded offerings made pursuant to Regulation Crowdfunding.

The SEC approved Options Clearing Corporation ("OCC") rule amendments enhancing the "Vanilla Option Model" and "Smoothing Algorithm."

The SEC approved the 2020 budget of the Public Company Accounting Oversight Board and, in addition, approved the related annual accounting support fee.

The MSRB notified members that the SEC approved a proposal to provide academic institutions with post-trade municipal securities transaction data collected through the MSRB Real-Time Transaction Reporting System.

The SEC Investor Bulletin provides retail investors with a general overview of margin transactions.

In remarks at the Annual Government-Business Forum on Small Business Capital Formation, Mr. Clayton stated that the SEC has a number of initiatives on its agenda for 2019 to help small businesses

In testimony before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government ...

SEC Chair Mary Jo White called for the SEC, FINRA and the exchanges to offer recommendations to adjust the "limit-up/limit-down" plan in order to reflect the sensitivity of exchange-traded products to disorderly market activity.