Social Media Ideas for Securities Regulation

Regulation crypto assets: What issuers need to know

The SEC’s proposed Regulation Crypto Assets (Reg CA) would create new exemptions for crypto-asset fundraising and a safe harbor for certain investment contracts. While the framewor...

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Issues New Interpretive Guidance on Pre-IPO Equity Awards and Registration on Form S-8

SEC Proposes Amendments to Expand Retail Access to Private Markets

United States- SEC Moves to Open Private Markets to Retail Investors

On 30 September 2026, the SEC proposed rule amendments advancing Chairman Paul S. Atkins’ “responsible retailization” of private markets, expanding retail access to private-market...

SEC Issues ‘Innovation Exemption’ for On-Chain Trading of Tokenized NMS Stocks

SEC and FDA Sign Memorandum of Understanding Formalizing Cross-Agency Information Sharing

SEC Approves FINRA Rule 2210 Amendment Allowing Projected Performance and Targeted Returns

United States: Time to Get Cross!

It’s been a rocky road for cross trading fixed-income securities by mutual funds. Before 2020, when the Securities and Exchange Commission (SEC) adopted the valuation rule, the pri...

SEBI proposes mandatory monitoring agency for all public issues, ₹50,000 fine for non-cooperation

The proposed changes also allow direct reporting to stock exchanges and introduce graded enforcement, including possible freezing of promoters’ demat accounts.

SEC Grants Review of Nasdaq’s Proposed $5 Million Minimum Market Value of Listed Securities Rule

SEBI vs RBI vs MCA: Who Regulates What and When Are Filings Due?

RBI owns foreign investment filings, SEBI owns disclosure, MCA owns governance. See where they overlap, which penalties hit hardest, and the FY 2025-26 compliance calendar.

Enhanced FDA-SEC Collaboration: How Life Sciences Companies Think About Disclosure, Insider Trading, and Prediction Mark...

New Securities Law to enhance investor protection, promote investment banking

Abdullah bin Salim al Salmi, Executive President at the Financial Services Authority (FSA), affirmed that the regulatory provisions contained in the Executive Regulation of the Sec...

A New Regulatory Framework for Transfer Agents: An Analysis of the SEC’s Modernization Proposal and Industry Implication...

Regulatory Update and Recent SEC Actions: October 2026

FDA and SEC Enter MOU to Establish Information Sharing Framework

SEC Staff Issues New CFIs Concerning Schedule 13G Eligibility

United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated

A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the Commission) notifying a registrant of an exam has long induced u...

The SEC’s Innovation Exemption

Market participants weigh in on SEC’s proposed crypto regulations

The financial agency is scheduled to close public comments on its ‘Regulation Crypto Assets’ proposed in August.The US Securities and Exchange Commission (SEC) is set to move forwa...

SEC Charges 38 Alleged Scammers of False Filings to Lure Retail Investors

The SEC worked with an FBI task force to identify and remove filings of 38 foreign “entities” allegedly posing as legitimate advisory firms.

A Preview of SEC Fall Rulemaking for Public Companies