SEC Proposes Historic Overhaul: The End of Regulation NMS Rules 611 and 610(e)
WASHINGTON, D.C. — June 11, 2026 — In a move that signals a seismic shift in the architecture of the...
Financial Law and Compliance
SEC Appoints John Moses as Permanent Director of Investor Education and Assistance
WASHINGTON, D.C. — June 12, 2026 — The Securities and Exchange Commission (SEC) officially announced today the appointment of John...
SEC Sets Stage for Critical Review of Options Market Structure: April 2026 Roundtable
WASHINGTON, D.C. — April 2, 2026 — In a move signaling a potential regulatory shift in the rapidly evolving derivatives...
SEC and CFTC Launch Landmark Joint Initiative to Overhaul Swap Data Reporting Frameworks
WASHINGTON, D.C. — June 18, 2026 — In a significant move toward regulatory modernization, the Securities and Exchange Commission (SEC)...
SEC and CFTC Launch Landmark Joint Initiative to Harmonize U.S. Derivatives Regulation
WASHINGTON, D.C. — June 18, 2026 — In a move signaling a major shift toward regulatory modernization, the U.S. Securities...
A Fundamental Reset: The SEC’s Fiscal Year 2025 Enforcement Overhaul
In a watershed moment for American financial regulation, the U.S. Securities and Exchange Commission (SEC) has officially closed the books...
SEC Appoints Industry Veteran David Woodcock as New Director of Enforcement
WASHINGTON, D.C. – In a move signaling a strategic pivot toward a renewed focus on market integrity and core investor...
SEC Paves Way for Enhanced Liquidity in U.S. Treasury Markets with New Cross-Margining Framework
WASHINGTON, D.C. — April 15, 2026 — In a landmark move designed to bolster the structural integrity and efficiency of...
Rethinking Oversight: SEC Launches Sweeping Review of Consolidated Audit Trail (CAT)
WASHINGTON D.C., April 16, 2026 — In a move signaling a potential structural overhaul of one of the most sophisticated...
Revitalizing the Public Markets: SEC Advisory Committee Convenes to Address the IPO Drought
WASHINGTON, D.C. — April 16, 2026 — In an effort to reverse a decade-long stagnation in public market listings, the...
Bridging the Transparency Gap: SEC Launches "Material Matters" Podcast to Demystify Regulatory Strategy
WASHINGTON, D.C. — April 16, 2026 — In a strategic move to modernize how the federal government engages with the...
SEC and CFTC Propose Landmark Relief for Private Fund Advisers: A Strategic Shift in Regulatory Oversight
WASHINGTON, D.C. — April 20, 2026 — In a significant move signaling a shift in the regulatory philosophy governing the...
