Press Releases

Official announcements highlighting recent actions taken by the SEC and other newsworthy information.

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Date Headline Release No.
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding 2026-105
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds 2026-104
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case 2026-103
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers 2026-102
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week 2026-101
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws 2026-100
SEC’s Division of Examinations Announces New Exam Handbook 2026-99
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities 2026-98
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans 2026-97
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets 2026-96
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors 2026-95
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest 2026-94
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised 2026-93
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement 2026-92
SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI 2026-91
SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment 2026-90
SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process 2026-89
SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements 2026-88
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution 2026-87
SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme 2026-86
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers 2026-85
SEC Investor Advisory Committee to Host Sept. 10 Meeting 2026-84
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading 2026-83
SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme 2026-82
SEC Proposes to Modernize Rules for Registered Transfer Agents 2026-81
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