SEC Rule 17a-1
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SEC approves the first US green stock exchange
The first sustainability-focused US stock exchange targets a 2026 launch.
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SEC publishes two statistical reports on RICs and MMFs
The reports consolidate information from filed Forms N-MFP and N-CEN.
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GRIP Extra: Healthcare data breach compromises millions, Trump threatens to fire Powell
Other news includes Truth Social asking SEC to investigate Qube over short position, US Supreme Court approves relaxed pleading standard for ERISA claim, China mulls letting Western firms operate as ETF market makers.
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Second SEC roundtable explores regulatory pathways for crypto trading
The SEC gathered industry leaders to discuss how crypto trading platforms might fit within, or reshape, the existing US regulatory framework.
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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says 'no-can-do to' the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
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Pharma watch: Delayed vaccine decisions, insulin price lawsuit, drug cap win
Updates on US pharmaceutical policy, compliance, and regulation.
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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.