SEC report on GameStop questions adequacy of trading regulations.

SEC issues risk alert on mutual fund and ETF compliance Deficiencies. SEC specifies financial reporting conditions for non-U.S. SBSDs. MSRB proposes extension of remote inspection relief.

In a new FAQ, OFAC clarified that the prohibitions under Executive Order 13959 do not apply to Luokung Technology Corp.

OFAC clarified in new FAQ 862 that Executive Order ("EO") 13959 does not require U.S. persons to divest their holdings in the publicly traded securities of identified Communist Chinese military companies by January 11, 2021.

In a final audit report, the SEC's Office of Inspector General (OIG) identified ways in which the SEC's Office of Compliance Inspections and Examinations ("OCIE") ...

President Donald J. Trump nominated Robert Jackson to be a Commissioner on the SEC.

The Federal Reserve Board, the FDIC, the Office of the Comptroller of the Currency, the SEC and the CFTC extended the comment period regarding a proposed rule to revamp the Volcker Rule. The comment period deadline – originally September 17, 2018 – was pushed back to October 17, 2018.

The SEC issued an Order making annual adjustments to transaction fee rates. The new rates will take effect on July 4, 2017.

The SEC voted to adopt final rule and form amendments to require certain public companies to include a hyperlink to each filed exhibit in their registration statements (see previous coverage).

The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")

The SEC adopted technical corrections to a final rule on business conduct standards for security-based swap dealers and major security-based swap participants.

SEC Division of Investment Management Director David W. Grim notified SIFMA Executive Vice President and General Counsel Ira D. Hammerman that Investment Advisers Act Rule 206(3)-3T.

On May 10, 2017, the SEC Advisory Committee on Small and Emerging Companies (the "Committee") will meet to discuss several regulatory issues relating to the capital-raising activities of small issuers.

The SEC announced the agenda for its October 5, 2016 meeting of its Advisory Committee on Small and Emerging Companies.

The SEC Division of Trading and Markets granted no-action relief to an introducing broker from the requirement to transmit a customer's check to the clearing broker-dealer by noon of the next business day after receipt.

In an Investor Bulletin, the SEC underscored the importance of exercising caution before buying ...

Starting in early February 2022, Lori H. Price will begin serving as the Acting Director of the Office of Credit Ratings ("OCR"), replacing Ahmed A. Abonamah.

William A. Birdthistle, a professor at the Chicago-Kent College of Law, was appointed to lead the SEC Division of Investment Management.

The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.

The SEC approved a minor rule violation plan ("MRVP") for ISE Mercury, LLC (the "Exchange") that grants discretion to the Exchange to impose a maximum fine of up to $2,500 for rule violations...