U.S. Securities and Exchange Commission

30 articles in the TruthFoundry index. Each links out to the original.

• SEC Charges Tricolor Executives Over $1.9B Subprime Auto Loan Fraud · The SEC charged former Tricolor executives with fraud related to a $1.9 billion collapse of a subprime auto lender.
• SEC Proposes Regulation Crypto Assets Framework for Investment Contracts · The SEC proposed new rules creating a tailored securities regime for specific crypto asset investment contracts.
• SEC Charges Andrew Spaventa with $74M Pre-IPO Investment Scam · The SEC charged Andrew Spaventa and three entities with defrauding investors in a $74 million pre-IPO scheme.
• SEC Charges Three New Jersey Men in $47M Orthodox Jewish Community Fraud · The SEC charged three Toms River residents with orchestrating a $47 million investment fraud targeting Orthodox Jewish communities.
• SEC Charges Adit Ventures CEO and Partners in Pre-IPO Fraud Scheme · The SEC charged Adit Ventures Management, CEO Eric Munson, and partners with defrauding investors in pre-IPO deals.
• SEC Establishes New Financial Reporting and Accounting Unit · The SEC announced the creation of a specialized unit to target accounting and financial reporting fraud.
• SEC Announces Continuation of Small Business Advisory Committee Meeting · The SEC announced the Small Business Capital Formation Advisory Committee will reconvene on August 6, 2026.
• SEC Releases Report on Small Business Capital Formation Recommendations · The SEC released a report summarizing policy recommendations from its 45th Annual Government-Business Forum on Small Business Capital Formation.
• SEC Announces Roundtable on 24-Hour U.S. Equity Trading · The SEC will host a public roundtable on Sept. 17, 2026, to discuss preparations for 24-hour trading in U.S. equity markets.
• SEC Announces Departure of Enforcement Chief Sam Waldon · Sam Waldon leaves SEC Enforcement after 14 years; Osman Nawaz named successor.
• SEC Proposes Making Electronic Disclosure the Default for Investors · The SEC proposed Regulation E-Delivery to make electronic disclosure the default method for investor information.
• SEC Office of Municipal Securities Updates Registration FAQs · The SEC updated its FAQs to clarify municipal advisor registration and recordkeeping requirements.
• SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Market Access · The SEC will host a virtual roundtable on July 13, 2026, to discuss modernizing the IPO process and expanding access to public markets.
• SEC Advisory Committee to Explore Modernizing Public Market Access · The SEC's Small Business Capital Formation Advisory Committee will meet to discuss modernizing IPO processes and regulatory reforms.
• SEC Launches Retail Fraud Working Group to Combat Investor Scams · The SEC announced a new Retail Fraud Working Group to target frauds against everyday investors.
• SEC Names Paul Knight as Chief Operating Officer · The Securities and Exchange Commission appointed Paul Knight as its new Chief Operating Officer.
• SEC Publishes Q1 2026 Market Data Showing Surge in IPO Proceeds · The SEC reports a significant increase in IPO activity and capital raised in the first quarter of 2026.
• SEC Seeks Public Comment on Regulation of Novel Exchange-Traded Funds · U.S. SEC seeks public comment on regulating novel exchange-traded funds, citing investor protection and market fairness.
• SEC and CFTC Seek Public Input on Harmonizing Portfolio Margining Rules · US regulators request public comment on aligning portfolio margining frameworks to improve efficiency and reduce fragmentation.
• SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs · The Securities and Exchange Commission appointed Kathleen M. Hutchinson as Director of the Office of International Affairs on June 24, 2026.
• SEC and CFTC Seek Public Input to Clarify Derivatives Definitions · SEC and CFTC jointly request public comment on harmonizing derivatives product definitions under Title VII.
• SEC and CFTC Seek Public Input on Harmonizing Swap Data Reporting · The SEC and CFTC issued a joint request for comment to modernize and harmonize data reporting requirements for security-based swap and swap markets.
• SEC Appoints John Moses as Director of Office of Investor Education · The Securities and Exchange Commission appointed John Moses as Director of the Office of Investor Education and Assistance.
• SEC Proposes Rescinding Regulation NMS Rules 611 and 610(e) · The SEC proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS to simplify market structure.
• SEC Establishes Joint Financial Data Standards Under 2022 Transparency Act · The SEC finalized joint data standards to improve interoperability across U.S. federal financial regulators.
• SEC Appoints Five New Members to Small Business Capital Formation Committee · The SEC announced five new appointees to its Small Business Capital Formation Advisory Committee on June 4, 2026.
• SEC Publishes Draft Strategic Plan Focusing on Investor Protection and Innovation · The SEC released a draft strategic plan emphasizing core investor protection, market efficiency, and operational modernization.
• SEC Appoints Four New Members to Investor Advisory Committee · The Securities and Exchange Commission announced four new members for its Investor Advisory Committee on June 1, 2026.
• SEC Proposes Rescinding Climate Disclosure Rules Citing Overreach · The SEC proposed rescinding climate-related disclosure rules, arguing they exceed statutory authority and impose unjustified costs.
• SEC Investor Advisory Committee to Meet June 4 on Private Markets and Voting · The SEC Investor Advisory Committee will host a public meeting on June 4 to discuss private markets, index funds, and proxy voting.