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Latest News
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Chairman Atkins reaffirms SEC regulatory tack in Paris speech
At an inaugural OECD conference, Atkins defended the SEC’s shift in priorities, and both criticized and praised EU policies.
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Court sends SEC short-selling rules back for review
An appeals court upheld the SEC’s authority to tighten oversight of short-selling, but ordered the regulator to re-do its cost–benefit sums.
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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC's continuing focus on how financial incentives influence employee recommendations.
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Private capital’s balance: Uyeda on valuation, access, and oversight
In remarks at SIFMA’s Private Markets Valuation Roundtable, SEC Commissioner Mark T Uyeda argued that private and public markets are mutually reinforcing, not rivals.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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SEC brings action against biotech firm for false and misleading statements
The SEC found fault with the firm for how it reported cardiovascular safety results to investors regarding its drug, Roxadustat.
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Clear crypto rules top priority as SEC unveils Spring '25 regulatory agenda
SEC wants to provide more crypto regulatory clarity, plus support capital formation and narrow disclosure mandates.
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SEC and CFTC explicitly state that exchanges can list crypto
A recent joint staff statement underscores that digital assets can be traded on regulated venues under existing frameworks.