SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating…
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding…
SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that…
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing…
Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will…
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in…
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of…
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday,…
Chairman Atkins Launches ‘Material Matters’ Podcast
The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast…
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund…