SEC Forms New Retail Fraud Working Group
The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division…
SEC Small Business Advisory Committee to Explore Modernizing Market Access
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday,…
SEC Names Paul Knight as Chief Operating Officer
The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As…
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key…
SEC Seeks Public Comment on Novel Exchange-Traded Funds
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in…
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on…
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA).…
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential…
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on…
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance,…