The Securities and Exchange Commission (SEC) proposed changes to regular reporting requirements for investment companies, including mutual funds. The SEC also postponed the implementation date for the ...
Paul Atkins, chair of the US Securities and Exchange Commission, and Commissioner Hester Peirce said on Wednesday the agency ...
SEC cuts broker-dealer stablecoin haircut from 100% to 2% aligning them with money market funds and accelerating digital ...
The new interpretations address moving an offering between intermediary platforms; issuer eligibility where Exchange Act reporting has ended; how the 12 month crowdfunding offering cap is measured; ...
Broker/dealer advocates are pressing Securities and Exchange Commission Chair Paul Atkins on what they claim is the agency’s enforcement approach to “shoot first and ask questions later,” a practice ...
The Securities and Exchange Commission (SEC) is moving to tighten oversight of corporate leadership by issuing new, consolidated guidelines for mandatory ...
The Securities and Exchange Commission’s Division of Examinations has released its priorities for 2026, signaling a continued focus on fiduciary standards, compliance programs, and emerging tech risks ...
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SEC issues compliance guidelines for one-person corporations
The Securities and Exchange Commission (SEC) on Saturday announced it has issued a comprehensive compliance checklist for one-person corporations (OPCs). In a statement, the SEC said the guidelines ...
As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...
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