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Finance News
Public finance feed reader with source attribution, published/fetched timestamps, and degraded states.
SEC Announces Enforcement Annual Results for Fiscal Year 2026
The Securities and Exchange Commission today provided its enforcement results for the past fiscal year which ended September 30. Throughout the fiscal year, the SEC’s Division of Enforcement remained focused on its fundamental responsibility: protecting…
Source: U.S. Securities and Exchange Commission. Published: 2026-11-10T16:15:35.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers
The Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
Source: U.S. Securities and Exchange Commission. Published: 2026-11-04T16:28:00.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief related to inter-affiliate repo…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-30T19:30:00.000Z. Fetched: 2026-11-11T20:37:30.496Z.
Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings to boost confidence in their…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-29T16:42:37.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Announces Fiscal Year 2027 Examination Priorities
The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud,…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-23T14:10:00.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers
The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-20T13:25:16.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC, FSA Hold Autumn Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-20T12:51:00.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence
The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-19T17:19:43.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-14T14:30:47.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-09T14:59:00.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-06T20:30:24.000Z. Fetched: 2026-11-11T20:37:30.496Z.
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
Source: U.S. Securities and Exchange Commission. Published: 2026-10-06T14:37:55.000Z. Fetched: 2026-11-11T20:37:30.496Z.