The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin…
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for Transfer Agents, is a webinar scheduled for Dec. 17…
The Securities and Exchange Commission today announced that Judge Margaret “Meg” Ryan has been named Director of the Division of Enforcement, effective Sept. 2, 2025. Acting Director of Enforcement Sam…
The Securities and Exchange Commission’s Crypto Task Force announced today it will host a public roundtable on financial surveillance and privacy on Friday, October 17 from 1 p.m. to 4…
The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforcement’s efforts to identify and combat cross-border fraud harming…
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harmonization opportunities and announced a joint roundtable to be held on…
The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and Paramount Management Group, LLC, with operating a multi-year Ponzi scheme…
Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement regarding the trading of certain spot crypto asset products. This…