Search results for Securities Sec

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 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 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 Staff Clarifies Broker-Dealer Registration Expectations for Non-Custodial Crypto Wallet Providers

On April 13, 2026, the Staff of the Division of Trading and Markets (Staff) of the U.S. Securities and Exchange Commission (SEC) issued a statement detailing their views on the bro...

SEC Fraud and Violations: Whistleblower Enforcement and Legal Protections

I. Introduction: The Expanding Reach of SEC Whistleblower Law Since the Dodd–Frank Act of 2010, the SEC has fundamentally reshaped how securities fraud and corporate misconduct are...

The SEC Releases New Interpretation on Crypto Assets

On March 17, 2026, the Securities and Exchange Commission (SEC) issued an Interpretative Release related to how federal securities laws will be applied to many cryptocurrency asset...

SEC issues advisory vs Zild Telecommunication

THE Securities and Exchange Commission (SEC) has issued an advisory against Zild Telecommunication Repair Services (ZILD TRS) and its owner, warning the public that the entity has...

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 Approves Nasdaq’s $25 Million IPO Requirement for China-Based Companies

On May 14, 2026, the U.S. Securities and Exchange Commission approved Nasdaq’s proposed rule change to its initial listing standards, which will require companies primarily operati...

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 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...

US SEC seeks comment on contentious trading database

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 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 revokes Mount Peak registration, issues advisory on unauthorized MocaMoca-linked platforms

THE SECURITIES and Exchange Commission (SEC) said it had revoked the broker-dealer registration of Mount Peak Securities, Inc. over alleged regulatory violations and deficiencies i...

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 warns against unregistered HTX investment platform

THE Securities and Exchange Commission (SEC) has issued advisories against HTS and its related entities, warning investors that these platforms have been offering securities withou...

SEC Proposes Preemption of State Securities Law Registration and Qualification Requirements for All Registered Offerings

Our Investment Funds Group examines the Securities and Exchange Commission’s proposed Rule 146 amendment that would preempt state blue sky registration and qualification requiremen...

SEC Expected to Propose Trading in Tokenized, Phantom Public Company Common Stock

The SEC is reported to be planning to issue rule proposals creating a regulatory framework for trading of tokenized, digital securities of publicly-traded companies that are issued...

SEC orders catering firm to stop alleged investment solicitation

THE SECURITIES and Exchange Commission (SEC) has issued a cease-and-desist order (CDO) against Melot’s Catering Services, its point person, and its agents for the alleged unauthori...

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...

Report: Tokenized US Stocks Get New Regulatory Framework as SEC Prepares Exemption Release

The U.S. Securities and Exchange Commission (SEC) is expected to release an innovation exemption for tokenized stocks as soon as this week, according to people familiar with the ma...

US SEC proposes broad changes to share registration, company reporting rules

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...