SEC

SEC

SEC Regulatory Framework for Private Capital Markets and Intermediaries

Reference: Release No. 2026-12SEC Formalizes Advisory Framework for Private Capital Markets Intermediaries The Securities and…

March 19, 2026

SEC

SEC and CFTC Joint Event Rescheduled for Crypto Harmonization

SEC and CFTC joint event on cryptocurrency harmonization rescheduled to January 29. Key updates for…

March 19, 2026

SEC

SEC Appoints New PCAOB Leadership: Strategic Implications for Audit Firms

The SEC announced appointments to the PCAOB board. Review the new leadership appointments, governance impact,…

March 19, 2026

SEC

SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers

The SEC Division of Economic and Risk Analysis releases new reports on ETFs, fund mergers,…

March 19, 2026

SEC

SEC Division of Enforcement Issues Revised Enforcement Manual with Focus on Fairness, Transparency, and Efficiency

The Securities and Exchange Commission's Division of Enforcement today announced significant updates to its Enforcement…

March 19, 2026

SEC

Memorandum: SEC and FSA Spring Financial Regulatory Dialogue Update

Analysis of the Spring SEC-FSA Financial Regulatory Dialogue held in Tokyo. This briefing outlines the…

March 19, 2026

SEC

SEC Announces Roundtable on Private Markets Valuation and Responsible Retailization

The SEC Division of Investment Management will host a roundtable on March 4 to discuss…

March 19, 2026

SEC

SEC Final Rules Implement HFIA Transparency Requirements

Reference: Release No. 2026-23Executive Summary The Securities and Exchange Commission has officially adopted final rules…

March 19, 2026

SEC

SEC Announces Roundtable on Options Market Structure Reform

Analysis of the SEC’s March 2026 announcement regarding a forthcoming roundtable on listed options market…

March 19, 2026

SEC

SEC Enforcement Division Leadership Transition and Client Impact Analysis

The Securities and Exchange Commission announced today that Judge Margaret A. Ryan has resigned from…

March 19, 2026

SEC Regulatory Framework for Private Capital Markets and Intermediaries

SEC and CFTC Joint Event Rescheduled for Crypto Harmonization

SEC Appoints New PCAOB Leadership: Strategic Implications for Audit Firms

SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers

SEC Division of Enforcement Issues Revised Enforcement Manual with Focus on Fairness, Transparency, and Efficiency

Memorandum: SEC and FSA Spring Financial Regulatory Dialogue Update

SEC Announces Roundtable on Private Markets Valuation and Responsible Retailization

SEC Final Rules Implement HFIA Transparency Requirements

SEC Announces Roundtable on Options Market Structure Reform

SEC Enforcement Division Leadership Transition and Client Impact Analysis

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