Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- How Soon is Now? Remarks at the Security Traders Association’s 93rd Annual Market Structure Conference
on October 14, 2026Jamie Selway, Director, Division of Trading and Markets
- SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfundingon 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…
- Statement on the Commission’s Approval of a Proposed Rule Change to Permit the Listing of Binary Options Overlying Key Performance Indicatorson October 14, 2026
Chairman Paul S. Atkins
- Statement on the Commission’s Approval of a Proposed Rule Change to Permit the Listing of Binary Options Overlying Key Performance Indicatorson October 14, 2026
Chairman Paul S. Atkins
- SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Fundson 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…
- Statement on Proposed Amendments to Investment Company Cross Tradingon October 9, 2026
Chairman Paul S. Atkins
- Statement on Proposed Amendments to Investment Company Cross Tradingon October 9, 2026
Chairman Paul S. Atkins
- Statement on Proposed Amendments to the Cross-Trading Ruleson October 9, 2026
Commissioner Mark T. Uyeda
- Statement on Proposed Amendments to the Cross-Trading Ruleson October 9, 2026
Commissioner Mark T. Uyeda
- SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Caseon 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…
- SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Adviserson October 6, 2026
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
- SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Weekon October 5, 2026
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
- World Investor Week 2026: Investor Bulletinon October 5, 2026
The SEC’s Office of Investor Education and Assistance (OIEA), the Commodity Futures Trading Commission’s (CFTC) Office of Customer Education and Outreach, the Financial Industry Regulatory Authority (FINRA), the North American Securities Administrators Association (NASAA), National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC) are issuing this Investor Bulletin to provide investors with information for World Investor Week 2026, a global campaign promoted by the International Organization of Securities Commissions (IOSCO) to raise awareness about the importance of investor education and protection.
- Statement on Departure of Commissioner Hester Peirceon October 1, 2026
Chairman Paul S. Atkins Commissioner Mark T. Uyeda
- Statement on Departure of Commissioner Hester Peirceon October 1, 2026
Chairman Paul S. Atkins Commissioner Mark T. Uyeda
- Statement on Proposal to Address the Custody of Crypto Assets Under the Investment Advisers Act and the Investment Company Acton October 1, 2026
Chairman Paul S. Atkins
- Statement on Proposal to Address the Custody of Crypto Assets Under the Investment Advisers Act and the Investment Company Acton October 1, 2026
Chairman Paul S. Atkins
- Roller Coaster Ride: Statement on Proposed Adviser and Regulated Fund Custody Rules; Crypto Custody Ruleson October 1, 2026
Commissioner Hester M. Peirce
- Roller Coaster Ride: Statement on Proposed Adviser and Regulated Fund Custody Rules; Crypto Custody Ruleson October 1, 2026
Commissioner Hester M. Peirce
- Statement on Proposed Amendments to the Custody Ruleson October 1, 2026
Commissioner Mark T. Uyeda