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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...

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...

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 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 is Through with the Trade-Through Rule

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 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 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...

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 Commissioner: No imminent decision on expanded CFP in works

SEC commissioner Greg Sankey attempted to quiet any notions on Monday that the league would vote on expansion of the College Football Playoffs during

SEC’s “Back to Basics” Enforcement Agenda Under Chairman Atkins: Insider Trading Returns to Center Stage

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...

Devy Landscape Review: SEC Part One

We round up all the devy names you need to know in the SEC (in two parts).

How the SEC’s five-year plan could accelerate tokenized capital markets

The agency that spent the better part of a decade defining crypto policy through enforcement has published a five-year plan describing blockchain as a technology with “the potentia...

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 Signals End of “No‑Admit/No‑Deny” Gag Rule: What It Means for Enforcement Strategy

Overview The Securities and Exchange Commission (SEC) appears poised to make a significant change to its enforcement program that could reshape how settlements are negotiated and c...

The SEC’s Mass Surveillance Of Investors’ Transactions Violates First Amendment

For decades, regulators and the courts have ignored the Constitution’s requirements in the context of financial regulation and economic liberty.

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...

The SEC Seeks Novel Ideas for Novel ETFs

Saturday SEC Regional Dish

Get caught up on the SEC action from Friday's Regional round

SEC plans orderly ETF review process amid filing boom

SEC official Brian Daly says the agency is studying clearer ETF reviews and confidential filings as novel product applications surge.

SEC could start writing crypto rules before the Senate votes on CLARITY

The agenda puts issuers, broker-dealers, and trading venues on separate NPRM tracks while the Senate races Aug. 7. The post SEC could start writing crypto rules before the Senate v...

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

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

SEC’s New Retail Fraud Group Signals a Sharper Focus on Main Street Investor Cases

The SEC has announced a new Retail Fraud Group within the Division of Enforcement, a structural change that offers an unusually clear signal about where the agency expects to devot...