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The U.S. Securities and Exchange Commission (SEC) is the agency of the U.S. government and is the main agency that oversees and regulates the U.S. securities market. The commission was created in 1934 under President Roosevelt.
The U.S. Securities and Exchange Commission (SEC) has proposed changes to rules governing transactions between registered investment funds and certain affiliated entities, aiming to widen the range of eligible securities and potentially lower trading costs for investors. Announced on October 9, the proposal would amend Rule 17a-7 under the Investment Company Act of 1940. The […]
The U.S. Securities and Exchange Commission (SEC) will host a virtual national compliance seminar for investment companies and investment advisers on November 19, bringing regulators and industry compliance professionals together to discuss cybersecurity, operational resilience, conflicts of interest, private funds, emerging investment strategies and crypto assets. The event is being organized through the SEC’s Compliance […]
The U.S. Securities and Exchange Commission (SEC) is joining financial regulators around the world in a new campaign warning investors about increasingly sophisticated fraud, including relationship investment schemes and impersonation attacks powered by modern technology. The warning was issued on October 5 as part of World Investor Week 2026, a global investor-education campaign coordinated by […]
The U.S. Securities and Exchange Commission has proposed a new framework for how registered investment advisers and regulated funds can hold crypto assets, including a conditional path for advisers to safeguard certain assets themselves and a proposed expansion of eligible custodians to state-chartered trust companies. Announced on October 1, the proposal would amend rules under […]
U.S. IPO activity accelerated sharply in the first half of 2026, with 208 initial public offerings raising more than $137 billion, according to updated statistics published by the U.S. Securities and Exchange Commission. The number of IPOs increased by about 16% from the same period in 2025, while proceeds rose by nearly 400%. The data, […]
The U.S. Securities and Exchange Commission has granted temporary, conditional regulatory relief allowing certain on-chain venues to trade tokenized NMS stocks through permissioned automated market makers and liquidity pools. The new “Innovation Exemption” creates a five-year framework for testing blockchain-based secondary trading while the SEC gathers data and considers longer-term rules. The order, issued on […]
The U.S. Securities and Exchange Commission has proposed a major change to the federal framework for shareholder proposals, seeking to rescind Rule 14a-8 and shift decisions over proposal inclusion toward state law and company governing documents. The SEC is also proposing separate changes intended to modernize the proxy solicitation process, including shorter broker-search timelines and […]
For Immediate Release 2026-78 Washington D.C., Aug. 27, 2026 — The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors. The complaints also allege that the defendants, a […]
On July 27, 2026, the U.S. Securities and Exchange Commission (SEC) formally delivered its 2026 Small Business Forum Report to Congress, presenting a comprehensive roadmap for legislative and regulatory reform. Released under Press Release 2026-70, the report consolidates actionable policy recommendations developed during the agency’s 45th Annual Government-Business Forum on Small Business Capital Formation, which […]
Two senior members of the House Financial Services Committee have put the SEC on notice: the autonomous AI trading revolution has arrived in retail investing, and Washington wants to know who is responsible when the algorithm gets it wrong. On June 24, 2026, Representatives Bill Foster (D-IL) and Brad Sherman (D-CA) formally called on SEC […]