Newsfile SEC Press Digest News Releases

SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies

Wed, 11 Mar 2026 16:51:00 -0400

Washington, D.C.--(Newsfile Corp. - March 11, 2026) - The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that they have entered into a Memorandum of Understanding (MOU) to guide coordination and collaboration between the two agencies to support lawful innovation, uphold market integrity, and ensure investor and customer protection. The MOU reflects both agencies’ commitment to provide fair notice to market participants, respect individual liberty,...

SEC Investor Advisory Committee to Host March 12 Meeting

Thu, 05 Mar 2026 11:12:00 -0500

Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential recommendation regarding the tokenization of equity securities.The meeting will also be webcast on the SEC website and consist of two panels:Public Company Disclosure ReformFund Proxy Voting:...

SEC Announces Roundtable on Options Market Structure Reform

Thu, 05 Mar 2026 10:24:00 -0500

Washington, D.C.--(Newsfile Corp. - March 5, 2026) - The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and identifying opportunities and challenges for continued growth.“The U.S.-listed options market has seen remarkable growth, particularly among retail investors,” said SEC Commissioner Hester M....

SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act

Fri, 27 Feb 2026 13:00:00 -0500

Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions of directors and officers of foreign private issuers (FPIs).Directors and officers of FPIs with a class of equity securities registered under Section 12 of the Securities Exchange Act of...

SEC, FSA Hold Spring Financial Regulatory Dialogue

Fri, 27 Feb 2026 10:15:00 -0500

Washington, D.C.--(Newsfile Corp. - February 27, 2026) - The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen collaboration on key cross-border issues and developments.Commissioner Mark T. Uyeda led the Dialogue for the SEC and Mr. MIYOSHI...

SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates

Thu, 26 Feb 2026 09:57:00 -0500

Washington, D.C.--(Newsfile Corp. - February 26, 2026) - The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET at the SEC’s Washington D.C. headquarters and streamed live on the SEC website.“With retail exposure to alternative investments becoming more common, we want to help everyday investors...

SEC's Division of Enforcement Announces Updates to Enforcement Manual

Tue, 24 Feb 2026 09:14:00 -0500

Updates Reinforce Agency's Commitment to Fairness and Efficiency of Enforcement Processes Washington, D.C.--(Newsfile Corp. - February 24, 2026) - The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations conducted by the Division. They include changes to investigative procedures that are intended to...

SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings

Wed, 18 Feb 2026 14:29:00 -0500

Commission Also Extends Compliance Dates for Names Rule Reporting Washington, D.C.--(Newsfile Corp. - February 18, 2026) - The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant information about a fund.The proposed amendments to Form...

SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy

Fri, 13 Feb 2026 11:51:00 -0500

Washington, D.C.--(Newsfile Corp. - February 13, 2026) - The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and an agenda are available on the event page.The forum brings together members of the public and private sectors to discuss and provide suggestions to improve policy...

SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers

Thu, 05 Feb 2026 14:17:00 -0500

Washington, D.C.--(Newsfile Corp. - February 5, 2026) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and security-based swap dealers (SBSDs). The reports provide the public with information about the growth in active ETFs and the changes in fees paid by investors when mutual funds and ETFs acquire...