#sec News & Analysis

SEC Small Business Advisory Committee to Continue Discussion on Regulatory Framework for Finders and Begin Exploring the Private Secondary Market

The SEC's Small Business Capital Formation Advisory Committee announced a public meeting scheduled for February 24, 2026, at SEC headquarters to continue discussions on regulatory frameworks for finders and explore the private secondary market. The meeting represents ongoing regulatory efforts to address capital formation issues for small businesses.

SEC Approves 2026 PCAOB Budget and Accounting Support Fee

The SEC has approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) totaling $362.1 million, representing a 9.4% increase of $37.6 million from the previous year. The approval includes the related accounting support fee that funds the PCAOB's regulatory oversight activities.

SEC Seeks Candidates for Membership on the Investor Advisory Committee

The SEC is seeking candidates for membership on its Investor Advisory Committee, which was established under the Securities Exchange Act of 1934 to protect investors and improve securities regulations. This committee plays a role in advising the SEC on policy matters affecting investors.

SEC Seeks Candidates for Small Business Capital Formation Advisory Committee

The SEC is recruiting candidates for vacancies on its Small Business Capital Formation Advisory Committee, which advises the Commission on rules and regulations affecting small business capital formation. This committee plays a role in shaping regulatory policies that could impact startup funding and early-stage business development.

Division of Corporation Finance Names Senior Staff

The SEC announced the senior leadership team for the Division of Corporation Finance, which will advise Director James Moloney on regulatory matters including rulemaking. This administrative restructuring could impact future SEC policy decisions and regulatory approaches.

Christina M. Thomas to Rejoin the Division of Corporation Finance as Deputy Director

The SEC announced that Christina M. Thomas will rejoin the Division of Corporation Finance as deputy director and chief advisor on disclosure, policy, and rulemaking in February. This appointment brings experienced leadership to the division responsible for corporate disclosure regulations.

Keith E. Cassidy Named Director of the Division of Examinations

The SEC has appointed Keith E. Cassidy as Director of the Division of Examinations, formalizing his role after serving as Acting Director since May 2024. This leadership appointment affects the division responsible for examining investment advisers, broker-dealers, and other regulated entities.

J. Russell McGranahan Named SEC General Counsel

The Securities and Exchange Commission announced the appointment of J. Russell 'Rusty' McGranahan as SEC General Counsel. As the SEC's chief legal officer, McGranahan will oversee legal expertise and advice across the agency's operations.

SEC to Host Hybrid Event on Regulation S-P for Small Firms

The SEC announced its third and final outreach event to help firms comply with amendments to Regulation S-P, specifically targeting small firms. The hybrid event allows both in-person and virtual attendance to assist with regulatory compliance.

SEC Publishes Staff Report on Capital-Raising Dynamics

The SEC's Office of the Advocate for Small Business Capital Formation published its 2025 staff report analyzing capital-raising dynamics and delivered it to Congress. The report serves as a comprehensive data resource examining current trends and challenges in capital formation for small businesses.

SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

The SEC has proposed amendments to rules defining which registered investment companies, investment advisers, and business development companies qualify as small entities under the Regulatory Flexibility Act. These amendments would update the criteria for determining small entity status for regulatory purposes.

Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC

The SEC announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025. The departure represents a personnel change in the SEC's enforcement division leadership.

SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe

The SEC announced the retirement of Cicely LaMothe, Deputy Director of the Division of Corporation Finance, after 24 years of service with the agency. This represents a significant leadership change in the division responsible for overseeing corporate disclosure and compliance matters.

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2018 Footage Of Ripple CEO Saying They’re Taking Over SWIFT Resurfaces, But How Have They Fared Since Then?

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