SEC Final Rules Implement HFIA Transparency Requirements 
Reference: Release No. 2026-23Executive Summary The Securities and Exchange Commission has officially adopted final rules…
SEC Announces Roundtable on Options Market Structure Reform 
Analysis of the SEC’s March 2026 announcement regarding a forthcoming roundtable on listed options market…
SEC Enforcement Leadership Change Signals Continued Focus on Fraud and Market Integrity
The SEC’s March 16, 2026 announcement that Division of Enforcement Director Judge Margaret A. Ryan…
SEC Investor Advisory Committee to Host March 12 Meeting
The SEC Investor Advisory Committee (ICA) will convene a public meeting on March 12, 2026,…
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The SEC and CFTC have issued a new Memorandum of Understanding to enhance inter-agency coordination,…
SEC Proposes Amendments to Exchange Act Rule 15c2-11
The SEC’s March 16, 2026 proposal would amend Exchange Act Rule 15c2-11 to refer only…
SEC DERA Releases Data on SBSDs and Public Market Offerings
The SEC Division of Economic and Risk Analysis (DERA) has published new reports on security-based…