Newsfile SEC Press Digest News Releases

SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers

Wed, 04 Nov 2026 12:18:00 -0500

The amendments further the Commission's commitment to understanding and addressing the concerns of small entities Washington, D.C.--(Newsfile Corp. - November 4, 2026) - The Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility Act (RFA).The Commission has a longstanding commitment to understanding...

SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions

Fri, 30 Oct 2026 15:43:00 -0400

Washington, D.C.--(Newsfile Corp. - October 30, 2026) - The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief related to inter-affiliate repo transactions and non-U.S. repo transactions. The SEC adopted the Treasury clearing rules in December 2023. To provide additional time for further engagement on compliance,...

Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence

Thu, 29 Oct 2026 15:01:00 -0400

Washington, D.C.--(Newsfile Corp. - October 29, 2026) - The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings to boost confidence in their investment program and helped them raise more than $130 million from tens of thousands of retail investors. According to the SEC’s complaint, from at least October 2025 through...

SEC Announces Fiscal Year 2027 Examination Priorities

Fri, 23 Oct 2026 10:27:00 -0400

Washington, D.C.--(Newsfile Corp. - October 23, 2026) - The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud, identify and monitor risk, and inform Commission policy. The priorities were developed in coordination with divisions and offices across the SEC and reflect examination...

SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers

Tue, 20 Oct 2026 10:51:00 -0400

Washington, D.C.--(Newsfile Corp. - October 20, 2026) - The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the supervision of certain investment advisers and investment companies regulated by the SEC and investment service providers supervised by the AMF. The MOU establishes a...

SEC, FSA Hold Autumn Financial Regulatory Dialogue

Tue, 20 Oct 2026 08:59:00 -0400

Washington, D.C.--(Newsfile Corp. - October 20, 2026) - The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 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. SEC Commissioner Mark T. Uyeda led the Dialogue for...

SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence

Mon, 19 Oct 2026 14:58:00 -0400

Washington, D.C.--(Newsfile Corp. - October 19, 2026) - The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs. “In the age of SI, high-quality information is critical. The roundtable will facilitate insightful discussions on the public’s use of machine-understandable data and SI along with associated risks and...

SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding

Wed, 14 Oct 2026 12:25:00 -0400

Washington, D.C.--(Newsfile Corp. - October 14, 2026) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy changes to Regulation Crowdfunding.The meeting will be open to the public and held at the SEC’s headquarters at 100 F Street, N.E, Washington D.C. The discussion will also be streamed live on...

SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

Fri, 09 Oct 2026 11:45:00 -0400

Washington, D.C.--(Newsfile Corp. - October 9, 2026) - The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments would modernize and expand the cross-trading rule and would allow cross trades that are beneficial to registered funds and their shareholders (by, for example, reducing a...

SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case

Tue, 06 Oct 2026 18:01:00 -0400

Washington, D.C.--(Newsfile Corp. - October 6, 2026) - The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC previously charged with a multi-year cherry-picking allocation scheme. As alleged in the SEC’s November 2024 complaint, from at least January 2021 through October 2023, ...