Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers
on November 4, 2026The 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…
- Statement on the Adoption of Amendments to Small Entity Definitionson November 4, 2026
Commissioner Mark T. Uyeda
- Statement on the Adoption of Amendments to Small Entity Definitionson November 4, 2026
Commissioner Mark T. Uyeda
- Remarks at the Practicing Law Institute’s 58th Annual Institute on Securities Regulationon November 2, 2026
Commissioner Mark T. Uyeda
- Remarks at the Economic Club of Dallason October 30, 2026
Chairman Paul S. Atkins
- SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactionson 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…
- “Transfer Portal”on October 29, 2026
Jamie Selway, Director, Division of Trading and Markets
- Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidenceon 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…
- Remarks to the Small Business Capital Formation Advisory Committeeon October 28, 2026
Commissioner Mark T. Uyeda
- Remarks to the Small Business Capital Formation Advisory Committeeon October 28, 2026
Commissioner Mark T. Uyeda
- Remarks at the Small Business Capital Formation Advisory Committee Meetingon October 27, 2026
SEC Chairman Paul S. Atkins
- Remarks at the Small Business Capital Formation Advisory Committee Meetingon October 27, 2026
SEC Chairman Paul S. Atkins
- SEC Announces Fiscal Year 2027 Examination Prioritieson 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,…
- SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providerson 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…
- SEC, FSA Hold Autumn Financial Regulatory Dialogueon 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…
- SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligenceon 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…
- Remarks at the Stanford University Private Capital Roundtableon October 16, 2026
Brian Daly, Director of the Division of Investment Management
- Statewide Joint Powers Authorities and Energy Prepay Bondson October 16, 2026
Dave Sanchez, Director, Office of Municipal Securities
- How Soon is Now?on October 14, 2026
Jamie 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…