On April 28th, the SEC's Division of Economic and Risk Analysis (DERA) released new data and analysis related to key market areas of public issuers, exempt offerings, commercial mortgage-backed securities (CMBS), asset-backed securities (ABS), money market funds, and security-based swap dealers (SBSD) with the aim of increasing transparency and understanding of capital markets. Continue reading "SEC’s Division of Economic and Risk Analysis..." »

The SEC has announced that it will host a roundtable to discuss crypto asset regulation and important matters concerning crypto custody. The event will take place on April 25th, from 1:00 p.m. to 5:00 p.m. EST. The roundtable is free and open for the public to attend via live broadcast on sec.gov. Continue reading " SEC to Hold Crypto Task Force Roundtable on..." »

On April 11th, the SEC’s Division of Corporation Finance released a group of Compliance and Disclosure Interpretations (C&DIs), which represent updates to the Division's interpretations of the Exchange Act Rules and Exchange Act Forms. Continue reading "SEC Issues Additional Compliance and Disclosure..." »

On April 2nd, the SEC’s Office of Investor Education and Advocacy (OIEA) announced that April’s National Financial Literacy Month will focus on emphasizing the vital role investing plays in powering the US economy and preparing US investors for their financial futures. Throughout the month of April, SEC leadership and staff will offer free tools and resources that will be available. The staff will also take part in investor education events nationwide that are geared toward high school and college students, senior investors, and members of the military. Continue reading "SEC Offers Free Educational Resources and..." »

On March 12th, the SEC’s Division of Corporation Finance released a group of Compliance and Disclosure Interpretations (C&DIs), which represent the Division's interpretations of the Securities Act Rules, Securities Act Sections, Regulation Crowdfunding, and Securities Act Forms. The staff’s release comprises a list that includes two new questions, 12 revised questions, and 10 withdrawn questions. Continue reading "SEC Issues Additional Compliance and Disclosure..." »

On November 27th, the SEC released the latest additions to the list of unregistered entities that use inaccurate information about their affiliation, location, or registration to solicit mainly non-US investors. This list is known as the Public Alert: Unregistered Soliciting Entities (PAUSE) list. The update adds 14 soliciting entities, two impersonators of real firms, and four bogus regulators. The SEC’s Office of Market Intelligence, in conjunction with the Office of Investor Education and Advocacy and the Office of International Affairs, periodically revises the PAUSE list. Continue reading "SEC Updates PAUSE List of Firms Using..." »

The Financial Accounting Standards Board (FASB) has released the proposed Accounting Standards Update (ASU), Derivatives and Hedging (Topic 815): Targeted Improvements to Accounting for Hedging Activities, which was initially issued in 2017 in ASU No. 2017-12. Continue reading "FASB Issues Proposed Improvements to Hedge..." »

The SEC’s Investor Advisory Committee will hold a meeting via webcast on sec.gov that will take place on Thursday, September 19, 2024 at 10:00 a.m. ET. Free and open for the public to attend, the meeting will cover committee matters, including subcommittee reports and approval of previous meeting minutes. {expires: 2024-09-20} Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

On July 19th, the SEC’s Division of Enforcement announced that it has launched the Interagency Securities Council (ISC). The ISC is a governing body that invites federal, state, and local regulatory and law enforcement professionals to convene quarterly to review and discuss current scams, trends, frauds, and mitigation strategies. The ISC launched with representatives from more than 100 departments and agencies. Continue reading "SEC Establishes Interagency Securities Council..." »

On June 24th, the SEC announced that it has revised its list of unregistered entities that use inaccurate data to solicit mainly non-US investors. This list is known as the Public Alert: Unregistered Soliciting Entities (PAUSE) list. The update adds 24 soliciting entities, six impersonators of real firms, and four bogus regulators. Revising the list of soliciting entities that have been the subject of investor complaints allows the SEC to provide information learned through reviewing tips, referrals, complaints, and other sources, helping retail investors avoid potential fraud before they invest. Continue reading "SEC Updates PAUSE List of Firms Using..." »

The SEC’s Investor Advisory Committee will hold an open meeting via webcast on sec.gov that will take place on Thursday, June 6, 2024 at 10:00 a.m. ET. The meeting is free and open for the public to attend. The meeting will cover committee matters, including subcommittee reports and approval of previous meeting minutes. {expires: 2024-06-07} Continue reading "SEC Staff to Hold Investor Advisory Committee..." »

The SEC has announced that it has adopted enhancements to Regulation S-P, the regulation protecting the privacy of consumer financial information. Accepted on May 16th, the changes will require covered institutions (broker-dealers, investment companies, registered investment advisers, and transfer agents) to keep affected individuals apprised of certain types of data breaches that may put them at risk. Continue reading "SEC Approves Revisions to Regulation S-P to..." »

On March 6th, the SEC announced that it is adopting amendments to its rules under the Securities Act and Securities Exchange Act that will make it mandatory for domestic and foreign registrants to include specific climate-related data in their annual reports and registration statements. The SEC initially proposed the rules in March 2022. The final rules will require information about a registrant’s climate-related risks that have materially impacted, or are reasonably likely to have a material impact on, its business strategy, results of operations, or financial condition. Continue reading "SEC Approves Amendments to Enhance and..." »

On January 24th, the SEC adopted rules designed to strengthen investor protections in initial public offerings by special purpose acquisition companies (SPACs) and in subsequent business combination transactions among SPACs and private operating companies (de-SPAC transactions). These new rules include structured data reporting requirements. Continue reading "SEC Approves Rules to Improve Investor..." »

On November 14th, the SEC’s Division of Enforcement announced that in fiscal year 2023 it saw a number of significant enforcement actions that furthered its attempt both to protect investors and promote market integrity. Continue reading "SEC Releases Enforcement Results for Fiscal..." »