Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
on July 10, 2026The 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…
- Remarks at the Society for Corporate Governance Conferenceon July 9, 2026
- SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Marketson July 8, 2026
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…
- SEC Small Business Advisory Committee to Explore Modernizing Market Accesson July 8, 2026
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…
- SEC Forms New Retail Fraud Working Groupon July 7, 2026
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…
- Statement on the 2026 Regulatory Agendaon July 7, 2026
SEC Chairman Paul S. Atkins
- Statement on the 2026 Regulatory Agendaon July 7, 2026
SEC Chairman Paul S. Atkins
- SEC Names Paul Knight as Chief Operating Officeron July 6, 2026
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…
- SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raisedon July 1, 2026
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…
- Remarks at the Economic Club of New Yorkon June 30, 2026
SEC Chairman Paul S. Atkins
- SEC Seeks Public Comment on Novel Exchange-Traded Fundson June 30, 2026
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation…
- SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworkson June 26, 2026
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,…
- SEC Appoints Kathleen Hutchinson as Director of Office of International Affairson June 24, 2026
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…
- SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitionson June 18, 2026
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…
- SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Marketson June 18, 2026
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…
- Remarks to the US-CEE Connection: Transatlantic Challenges in Law, Business & Policyon June 13, 2026
Commissioner Mark T. Uyeda
- SEC Appoints John Moses as Director of the Office of Investor Education and Assistanceon June 12, 2026
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…
- Statement Regarding Minimum Pricing Increments and Access Fee Capson June 11, 2026
Paul S. Atkins, Chairman
- Statement Regarding Minimum Pricing Increments and Access Fee Capson June 11, 2026
Paul S. Atkins, Chairman
- SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)on June 11, 2026
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…