Securities and Exchange Commission press releases

SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)

The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS.“After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than…

SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022

The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional…

SEC Announces New Members of Small Business Capital Formation Advisory Committee

The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current …

SEC Publishes Draft Strategic Plan for Public Comment

The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient…

SEC Announces Four New Members of Investor Advisory Committee

The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the…

SEC Proposes Rescission of Climate-Related Disclosure Rules

The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s…

SEC Investor Advisory Committee to Host June 4 Meeting

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 a.m. ET to discuss private markets, passive index funds, and recommendations regarding fund…

SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination

The Securities and Exchange Commission and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common…

SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements

The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor…

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 that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the…

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 used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…

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 the application of the federal securities laws to pooled employer plans (PEPs), which help…