The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the…
The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage…
The Securities and Exchange Commission today issued an order granting conditional exemptive relief related to certain requirements of the National Market System Plan governing the Consolidated Audit Trail (CAT NMS…
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed…
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken…
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the agenda and panelists for their joint September 29 roundtable on regulatory harmonization efforts. The roundtable, announced earlier…
The Securities and Exchange Commission today announced that Jon Kroeper has been named deputy director of the agency’s Division of Trading and Markets, effective Sept. 29. Mr. Kroeper twice served…
The Securities and Exchange Commission released a report to Congress summarizing policy recommendations made during the SEC’s 44th Annual Small Business Forum. The report provides a summary of the forum…
The Securities and Exchange Commission today voted to approve proposed rule changes by three national securities exchanges to adopt generic listing standards for exchange-traded products that hold spot commodities, including…
The Securities and Exchange Commission today published a policy statement to announce that decisions about whether to accelerate the effectiveness of a registration statement will not be affected by the presence…