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Stocks6 days ago3 min read

SEC Announces Fiscal Year 2027 Examination Priorities

Washington D.C., Oct. 23, 2026 —

Stocks

SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers

SEC to Resume Processing Registration Applications

1 weeks ago1 min read

Stocks

SEC, FSA Hold Autumn Financial Regulatory Dialogue

Washington D.C., Oct. 20, 2026 —

1 weeks ago1 min read

Stocks

SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence

Washington D.C., Oct. 19, 2026 —

1 weeks ago1 min read

Stocks

SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

Washington D.C., Oct. 9, 2026 —

2 weeks ago2 min read

Stocks

SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case

Court approval would result in $103 million returned to harmed investors

3 weeks ago2 min read

Stocks

SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

Washington D.C., Oct. 6, 2026 —

3 weeks ago1 min read

Stocks

SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week

Washington D.C., Oct. 5, 2026 —

3 weeks ago1 min read

Stocks

SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws

Washington D.C., Oct. 1, 2026 —

3 weeks ago1 min read

Stocks

SEC’s Division of Examinations Announces New Exam Handbook

Provides a Clear Roadmap for a Consistent Examination Process

4 weeks ago1 min read

Stocks

SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities

Washington D.C., Sept. 30, 2026 —

4 weeks ago2 min read

Stocks

SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans

Washington D.C., Sept. 30, 2026 —

4 weeks ago2 min read

Stocks

SEC Proposes Amendments to Expand Responsible Retailization of Private Markets

Commission Seeks Public Comment on Additional Ways to Qualify as an Accredited Investor

4 weeks ago3 min read

Stocks

SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors

Washington D.C., Sept. 29, 2026 —

1 months ago3 min read

Stocks

SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

Washington D.C., Sept. 28, 2026 —

1 months ago2 min read

Stocks

SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised

Washington D.C., Sept. 23, 2026 —

1 months ago2 min read

Stocks

SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement

Washington D.C., Sept. 23, 2026 —

1 months ago2 min read

Stocks

SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI

Washington D.C., Sept. 22, 2026 —

1 months ago2 min read

Stocks

SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment

Washington D.C., Sept. 17, 2026 —

1 months ago3 min read

Stocks

SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process

Washington D.C., Sept. 16, 2026 —

1 months ago2 min read

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