Search results for Sec

SEC rolls out unified SRC rules reference

THE Securities and Exchange Commission (SEC) has released a consolidated digital reference for the implementing rules and regulations (IRR) of the Securities Regulation Code (SRC),...

SEC Speaks – Are You Listening?

Leaders across the SEC convened in Washington, D.C., earlier this month for SEC Speaks in 2026, an annual gathering of SEC Commissioners and senior staff who discuss agency updates...

SEC launches digital reference for regulations

MANILA, Philippines – The Securities and Exchange Commission (SEC) has launched a consolidated digital reference for the country’s securities regulations. It wants to make complian...

SEC Mandates Sports Betting Classes for All Student-Athletes

The SEC is requiring its student-athletes to watch an educational video on sports betting The video educated college athletes on how to avoid being targeted by rogue bettors The cu...

Overview of US Consumer Privacy Law Landscape State by State

What Happened The SEC’s Division of Corporation Finance issued two new Corporation Finance Interpretations (CFIs) on March 23, 2026, clarifying the rules relating to the waiting pe...

SEC–CFTC 2026 Harmonization MOU

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have entered into a new Memorandum of Understanding (MOU) that sets out how they pl...

SEC Expands Gambling Education for Athletes

The Southeastern Conference will require all student-athletes to complete a new sports gambling education program before the start of competition during the 2026-27 athletic year,...

The SEC’s Semiannual Reporting Proposal: Open Questions & Practice Pointers

After the SEC posted its proposing release for its semiannual reporting proposal last week, it posted this 3-minute video about the proposal. And here’s an excerpt from this Cooley...

From Enforcement to Empowerment: SEC’s Inaugural Podcast Signals Continued Course Correction on Crypto

On April 16, 2026, the Securities and Exchange Commission (SEC) debuted its podcast, Material Matters, with Chairman Paul S. Atkins hosting Commissioners Mark T. Uyeda and Hester M...

SEC student-athletes will be required to watch sports gambling educational video before next season

BIRMINGHAM, Ala. — The Southeastern Conference will require all of its student-athletes to watch a sports gambling educational video ahead of the 2026-27 athletic year.&a...

SEC and CFTC Regulatory Labs Try Joint Venturing: Landmark Memorandum Sets the Terms

On March 11, 2026, the SEC and the Commodity Futures Trading Commission (CFTC) signed what both agencies have called a “historic” memorandum of understanding. The memorandum is int...

Reading Between the Lines: The New SEC SOX Enforcement Group

The recent job postings by the Securities and Exchange Commission (SEC) on USAJOBS.gov   — the U.S. government’s job board — has caused speculation regarding the future of the Publ...

Words and Actions – SEC Chair's View on IPO Incentives

In recent remarks on April 28, 2026 at the Small Business Capital Formation Advisory Committee, Paul S. Atkins, Chairman of the U.S. Securities and Exchange Commission (SEC), discu...

United States: The Last Leg- SEC Extends Trading Relief to Share Class ETFs

With this fourth SEC approval, share class ETFs are now ready to go live. Since late 2025, the SEC has provided exemptive relief to dozens of managers under Section 18(f), among ot...

SEC Staff Issues Statement on Covered User Interfaces

On April 13, 2026, staff in the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued a Staff Statement Regarding Broker-Dealer Registration of Certain...

SEC Gives Enforcement Manual an Overdue Physical

We recently reported that SEC Chairman Paul Atkins had prescribed new procedures for the agency’s Wells submission process: i.e., more time for and more transparency to potential d...

Notice – ONTARIO SECURITIES COMMISSION and PURPOSE INVESTMENTS INC. and SOM SEIF, File No. 2025-18

TORONTO, April 24, 2026 /CNW/ – The Tribunal issued an Order in the above-named matter. A copy of the Order dated April 24, 2026 is available at capitalmarketstribunal.ca. Registra...

Tuesday’s SEC Dish: SEC Tournament to use ABS Challenges

In a suprising move, the SEC is implementing a ABS Challnge system for this month's SEC Tournament. Here's analysis in today's dish

A Call to Arms Against the SEC's Spy Games

Recently, the SEC announced a "comprehensive review" of its consolidated audit trail, or "CAT," and asked for public comments due in 60 days, on June 15, 2026, including on whether...

United States: The SEC Finally Admits It, The No-Admit/No-Deny Policy Is Gone

On 18 May 2026, the United States Securities and Exchange Commission (SEC) rescinded the rule barring settling defendants from publicly denying the agency’s allegations. The policy...

IPOs in Focus at Upcoming SEC Advisory Committee Meeting

The Securities and Exchange Commission’s next meeting of the Small Business Capital Formation Advisory (“SBCFA”) Committee convenes April 28, 2026, to explore ways to encourage mor...

SEC nixes 'gag rule' on enforcement action settlements

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.

The SEC’s Semiannual Reporting Proposal: Fare Thee Well Quarterly Reporting?

On May 5, 2026, the Securities and Exchange Commission (SEC) proposed rule and form amendments that would allow companies reporting under the Securities Exchange Act of 1934, as am...

US SEC seeks comment on contentious trading database