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Showing 23 recent item(s) from Business & Markets. Sources are shown only after rights and attribution review.
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the…
Read original source →The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well…
Read original source →The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will…
Read original source →The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…
Read original source →The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency…
Read original source →The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy…
Read original source →The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…
Read original source →The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The…
Read original source →The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine…
Read original source →The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs…
Read original source →The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group…
Read original source →The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC's operational and administrative functions, including the agency's Office of…
Read original source →The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance data…
Read original source →The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,…
Read original source →The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the…
Read original source →The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and…
Read original source →The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the…
Read original source →The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment…
Read original source →The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS.“After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than…
Read original source →The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current …
Read original source →The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient…
Read original source →The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. Three of the four new members will serve four-year terms, while the fourth new member will serve as the…
Read original source →The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s…
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