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Non-U.S. broker-dealers conducting business with U.S. persons are subject to specific regulatory requirements. Our Topic Page on non-U.S. broker-dealers and Exchange Act Rule 15a-6 ("Exemption of Certain Foreign Brokers or Dealers") ...

President Trump signed a joint resolution (H.J. Res. 41) to nullify an SEC final rule regarding the disclosure of payments by resource extraction issuers.

With the end of LIBOR approaching, PE sponsors entering into new subscription credit facilities will be seeing a non-LIBOR benchmark rate...

In a public statement, SEC Chair Gary Gensler marked the commencement of real-time reporting for securities-based-swap transactions.

The SEC Advisory Committee on Small and Emerging Companies will consider recommendations regarding corporate board diversity and continue discussions regarding outreach to smaller businesses...

The SEC will exempt persons affected by Hurricane Michael from certain requirements of the Exchange Act and Investment Company Act.

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...

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 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