32 articles tagged with #securities. AI-curated summaries with sentiment analysis and key takeaways from 50+ sources.
The SEC's Division of Enforcement has announced significant updates to its Enforcement Manual, emphasizing the Commission's commitment to fairness, transparency, and efficiency in investigations. These updates likely impact how the SEC will conduct enforcement actions across all securities matters, including cryptocurrency-related cases.
The SEC announced Paul H. Tzur and David M. Morrell as new Deputy Directors of the Division of Enforcement, with Tzur joining on January 6, 2026. This leadership change in the SEC's enforcement division could signal shifts in regulatory approach and priorities.
The SEC has proposed amendments to Exchange Act Rule 15c2-11, which governs information gathering and review requirements for broker-dealers publishing quotations or maintaining quoted markets. These regulatory changes could impact how securities are quoted and traded in over-the-counter markets.
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.
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.
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.
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.
