Tagged: sec

July 28, 2026 @ 3:06 pm By Omar Faridi  |  

Tokenization-focused Securitize (NYSE: SECZ) has taken another significant step in building out its compliance infrastructure. On July 27, 2026, the company announced that its subsidiary, Securitize Capital LLC, has successfully registered with the U.S. Securities and Exchange Commission as an investment adviser. This development expands… Read More

July 28, 2026 @ 2:36 pm By Michael Wong  |  

The U.S. Securities and Exchange Commission (SEC) will hold a public roundtable in September to discuss preparations for round-the-clock trading in American equities, as exchanges and brokers move to give global investors nearly continuous access to the world’s largest stock market. The Sept. 17 roundtable… Read More

July 27, 2026 @ 4:03 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) proposed Registered Offering Reform this past May. The rule change has been receiving comments with a deadline of today. The goal is to make it easier for public firms, especially smaller ones, to raise money through a registered offering. A… Read More

July 22, 2026 @ 11:10 am By JD Alois  |  

The Securities and Exchange Commission (SEC) entered a dark period during the tenure of former Chairman Gary Gensler. Ambitious and smart, Gensler sought to appease his political allies to earn a higher position in the Biden/Harris administration by pursuing radical policy goals, ignoring the SEC’s… Read More

July 21, 2026 @ 10:00 pm By Omar Faridi  |  

Grayscale Investments, a key player in digital asset management, has taken another step to broaden its lineup of cryptocurrency-based exchange-traded funds (ETFs) by submitting a registration statement for a spot Worldcoin ETF. This move underscores the firm’s ongoing commitment to providing investors with regulated access… Read More

July 21, 2026 @ 12:18 pm By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has taken legal action against a Florida man and his associated business for their alleged involvement in a substantial cryptocurrency mining fraud that targeted hundreds of investors. According to the regulator, the scheme raised around $22 million by… Read More

July 19, 2026 @ 3:07 pm By JD Alois  |  

The Securities and Exchange Commission (SEC), Small Business Capital Formation Advisory Committee (SBCFAC) will meet this week to discuss initial public offerings (IPOs) and capital formation. Part of the broader ambition of making IPOs “great again,” as well as improving access to capital, including online… Read More

July 13, 2026 @ 2:08 pm By JD Alois  |  

Last month, a delegate from the Republic of Korea met with representatives of the Securities and Exchange Commission Crypto Task Force to better understand US policy initiatives in developing crypto asset regulations and how Korea could potentially align with the US as it advances new… Read More

July 13, 2026 @ 1:46 pm By JD Alois  |  

The Securities and Exchange Commission (SEC), Office of the Advocate for Small Business Capital Formation, will convene a roundtable today in partnership with the SEC’s Division of Corporate Finance to discuss the initial public offering (IPO) ecosystem. Entitled “Rethinking the Rulebook: Modernizing the IPO Process… Read More

July 12, 2026 @ 10:55 am By Michael Wong  |  

The Philippine Securities and Exchange Commission (SEC) has urged Filipinos to borrow only from registered lenders, warning that illegal operators may charge exorbitant interest rates and resort to unfair collection practices. The corporate regulator said consumers should use safe, transparent and regulated loan products, including… Read More

July 10, 2026 @ 1:13 pm By JD Alois  |  

The Securities and Exchange Commission has published its Regulatory Agenda for the coming year, marking a significant shift from the previous administration. During the Biden presidency, former SEC Chairman Gary Gensler placed much of the focus on political ambitions like ESG, such as climate disclosure…. Read More

July 2, 2026 @ 1:12 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has published an update on markets during the first quarter of 2026. The SEC holds a mission of maintaining efficient markets, facilitating capital formation and the protection of investors. During the prior administration more emphasis was placed on investor… Read More

July 1, 2026 @ 12:32 pm By JD Alois  |  

Securities and Exchange Commission Chairman Paul Atkins spoke at the Economic Club of New York this week discussing the benefits of free markets while stating enforcement at the Commission has too frequently been used as a policy tool. Invoking the legacy of Adam Smith, author… Read More

June 15, 2026 @ 6:41 am By Omar Faridi  |  

Former US Securities and Exchange Commission (SEC) Chairman Gary Gensler has taken a strong stance against expansive federal authority in the realm of sports betting. In an amicus curiae brief submitted to the U.S. Court of Appeals for the Sixth Circuit, Gensler argues that the… Read More

June 14, 2026 @ 12:56 pm By Michael Wong  |  

The Philippine Securities and Exchange Commission (SEC) has warned the public against several online lending platforms accused of illegally using the names and regulatory credentials of legitimate financing and lending companies to solicit borrowers. In recent advisories, the SEC flagged Perasayo.com for allegedly using the… Read More

June 12, 2026 @ 10:24 am By JD Alois  |  

President Donald Trump has announced that Jay Clayton, the former Chairman of the Securities and Exchange Commission (SEC) and the current US Attorney for the SDNY, has been nominated to serve as Director of National Intelligence (DNI). SDNY is the most influential jurisdiction for financial services, as it… Read More

June 10, 2026 @ 5:27 pm By JD Alois  |  

The number of publicly traded companies in the US has been in decline for many years – to the detriment of all. This is largely due to overly aggressive regulations that boost compliance demands and affiliated cost. At the same time, there is an ocean… Read More

June 10, 2026 @ 10:50 am By JD Alois  |  

Senator Elizabeth Warren, the ranking member of the Senate Banking Committee, has sent a letter to the Securities and Exchange Commission (SEC) demanding that the pending SpaceX IPO be halted or delayed due to “the multitude of concerns” regarding governance and disclosures that, in her opinion, put investors… Read More

June 3, 2026 @ 12:33 pm By JD Alois  |  

The US House of Representatives Committee on Financial Services has sent a letter to President Donald Trump requesting the termination of conflict mineral disclosure requirements, as they threaten US strategic interests and create unintended humanitarian harm. The Dodd-Frank Wall Street Reform and Consumer Protection Act,… Read More

June 1, 2026 @ 11:26 am By JD Alois  |  

The Securities and Exchange Commission (SEC), during the Biden Administration, sought to add “climate disclosure” to the growing list of compliance demands for public companies. This obtuse policy was derided by some as turning the SEC into the Securities and Environment Commission. Climate Disclosure, falling under the… Read More