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Policy & market news

Markets & regulation · October 6, 2026SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking CaseSEC Markets & regulation · October 6, 2026SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment AdvisersSEC Markets & regulation · October 5, 2026SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor WeekSEC Markets & regulation · October 1, 2026SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities LawsSEC
Official announcements · not a complete market news feed
FROM THE SOURCE

Policy & market news

Markets & regulation · October 6, 2026SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking CaseSEC Markets & regulation · October 6, 2026SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment AdvisersSEC Markets & regulation · October 5, 2026SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor WeekSEC Markets & regulation · October 1, 2026SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities LawsSEC Markets & regulation · October 1, 2026SEC’s Division of Examinations Announces New Exam HandbookSEC Markets & regulation · September 30, 2026SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO SecuritiesSEC Markets & regulation · September 30, 2026SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted VeteransSEC Markets & regulation · September 30, 2026SEC Proposes Amendments to Expand Responsible Retailization of Private MarketsSEC Markets & regulation · September 29, 2026SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure InvestorsSEC Markets & regulation · September 28, 2026SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of InterestSEC Markets & regulation · September 23, 2026SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds RaisedSEC Markets & regulation · September 23, 2026SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law EnforcementSEC Markets & regulation · September 22, 2026SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCISEC Markets & regulation · September 17, 2026SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for CommentSEC Markets & regulation · September 16, 2026SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation ProcessSEC Markets & regulation · September 14, 2026SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission RequirementsSEC Markets & regulation · September 11, 2026Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty ResolutionSEC Markets & regulation · September 10, 2026SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi SchemeSEC Markets & regulation · September 3, 2026SEC Proposes Rescission of Political Contribution Rule for Investment AdvisersSEC Markets & regulation · September 3, 2026SEC Investor Advisory Committee to Host Sept. 10 MeetingSEC Markets & regulation · September 1, 2026SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour TradingSEC Markets & regulation · September 1, 2026SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like SchemeSEC Markets & regulation · September 1, 2026SEC Proposes to Modernize Rules for Registered Transfer AgentsSEC Markets & regulation · August 31, 2026SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market IntegritySEC Markets & regulation · August 28, 2026SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt ObligationsSEC
Official announcements · not a complete market news feedChecked October 7, 2026

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