Move would sweep many more RIAs and funds into the “small entity” bucket, potentially reshaping how the federal securities ...

On3, 2026, SEC Chair Paul Atkins issued a statement directing the Division of Corporation Finance to conduct a comprehensive review of Regulation S-K, which governs various qualitative disclosures ...

The SEC could unveil the final versions of dozens of its rules as early as April, according to the White House Office of Management and Budget. The potential final rules include those restricting ...

These new regulations create a framework that benefits everyone in the market. Retail traders gain stronger protections ...

Broker/dealer advocates are pressing Securities and Exchange Commission Chair Paul Atkins on what they claim is the agency’s enforcement approach to “shoot first and ask questions later,” a practice ...

There has been a formal submission to the Securities and Exchange Commission (SEC) to increase the funding cap of Regulation ...

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...

The Financial Services Institute has asked the SEC to adopt formal rules that "ensure fairness, transparency and predictability in its enforcement practices." The request came in a letter sent by FSI ...

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...