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Securities Regulation and Compliance

The importance of securities regulation is reflected in the scale of U.S. financial markets. In 2025, the U.S. equity market showed record-breaking resilience, with the S&P 500...

SEC Proposes Bold Reforms to Registered Offering Process

On May 19, 2026, the US Securities and Exchange Commission (SEC) proposed a broad set of amendments intended to reform the registered offering framework under the Securities Act of...

A New Direction at the SEC: What Market Participants Need to Know Now

The U.S. Securities Exchange Commission (SEC) has released the draft of its strategic plan for fiscal years 2026-2030 and is soliciting public comment. Under Chairman Paul S. Atkin...

SEC to release innovation exemption for third-party tokenized shares as soon as this week: Report

The SEC's move could redefine stock trading, raising concerns about market fragmentation and investor protection in decentralized finance. The post SEC to release innovation exempt...

Supreme Court Bolsters FCC Fine Authority and SEC Disgorgement Power

The U.S. Supreme Court handed federal regulators two important victories, preserving enforcement tools that many companies had hoped the justices might narrow. In one decision, the...

Breaking New Ground- SEC and NFA Sign First-Ever Memorandum of Understanding

The Securities and Exchange Commission (SEC) and the National Futures Association (NFA) announced an unprecedented step in regulatory coordination. On May 21, the SEC and NFA annou...

Big Changes Coming For Brokers, IPOs & Mutual Funds | SEBI Chief

SEBI Chairman Tuhin Kanta Pandey has unveiled a fresh wave of reforms aimed at making India's capital markets more efficient and investor-friendly. SEBI is reviewing capital requir...

Supreme Court Bolsters FCC Fine Authority and SEC Disgorgement Power

The U.S. Supreme Court handed federal regulators two important victories, preserving enforcement tools that many companies had hoped the justices might narrow. In one decision, the...

A Flurry of Activity at the U.S. Securities and Exchange Commission

The U.S. Securities and Exchange Commission has been especially busy this spring proposing to relax its disclosure regulations for initial public offerings, eliminate its reporting...

SEC Proposes Reg NMS Rule Changes That Could Affect Tokenized Stock Trading

The SEC proposed rescinding Regulation NMS Rules 611 and 610e.

SEC Commissioner: Tokenized Real-World Assets Could Address PSE Trading Lull

The commission is requesting companies within the digital asset industry to submit formal applications to enter its strategic sandbox testing environment.

SEC Capital Offering Reforms Could Matter For Crypto Firms Eyeing Public Markets

SEC Capital Offering Reforms Could Matter For Crypto Firms Eyeing Public Markets is a useful reminder that crypto coverage is not only about token prices. Sometimes the more import...

The SEC is Through with the Trade-Through Rule

American CryptoFed presses SEC as Locke token nears key deadline

American CryptoFed has urged the U.S. Securities and Exchange Commission to recognize its Locke governance token registration ahead of an Aug. 17 deadline that the organization say...

SEC Proposes Reforms to Registered Offerings and Reporting Framework

On May 19, 2026, the Securities and Exchange Commission issued two proposed rules as part of Chairman Paul Atkins’ agenda to “Make IPOs Great Again” and incentivize companies to go...

SEC Delays Prediction Market ETFs, Signaling Turf Battle with CFTC

SEC Chairman Paul Atkins announced a formal public comment period on proposed exchange-traded funds from Roundhill, GraniteShares, and Bitwise. The ETFs, which would let investors...

SEC prepares plan for trading tokenized stocks this week

The SEC's move towards tokenized stocks could revolutionize trading with 24/7 markets and faster settlements, but risks fragmentation and custody challenges. The post SEC prepares...

SEC tokenized stock exemption to let equities move onto crypto rails

The SEC is expected to release an innovation exemption for tokenized stocks as soon as this week. SEC Chair Paul Atkins and Commissioner Hester Peirce had already sketched the plan...

SEC outlines new crypto and fintech regulatory approach

Ghana’s securities regulator has moved to clarify the country’s stance on virtual assets and digital finance, signalling a tighter but innovation-friendly regulatory regime as the...

SEC’s 2026 Agenda Has 38 Items, But Crypto and IPOs Are the Headliners

A proposed safe harbor could give early crypto projects more flexibility while building tokenized products.

SEC targets 20-year-old rule standing between Wall Street and blockchain trading

The Securities and Exchange Commission (SEC) is moving to dismantle a stock-trading rule that has governed Wall Street for two decades. On June 11, the agency submitted a proposal...

SEBI reviews broker net-worth norms, weighs IPO auction reforms

Regulator also plans easier compliance for research analysts, new MF liquidity framework and measures to deepen corporate bond market

The SEC's New Rulemaking Agenda: A Deregulatory Road Map for Advisers and Funds

Securitize moves closer to NYSE listing after SEC declares SPAC merger filing effective

Securitize moves closer to its NYSE listing after the SEC declared effective its SPAC merger filing with Cantor Equity Partners II. The post Securitize moves closer to NYSE listing...