The SEC’s Proposal for Semiannual Reporting
Many large companies support the proposal including business associations, oil & gas, and pharmaceuticals. Eli Lilly, for example, stated that, ...
Sunday, October 25, 2026
Tag: SECs
How SEC’s e-delivery rule could cut paperwork, costs for advisors
Document delivery between financial firms and the SEC might be upgraded to what some in the industry consider an overdue ...
SEC’s novel ETF review draws early pushback over prediction markets
A little more than one week in, the SEC's request for public feedback on novel exchange-traded funds — those that ...
SEC’s Atkins criticizes off-channel comms enforcement
Bloomberg Securities and Exchange Commission Chairman Paul Atkins on Tuesday criticized off-channel communications enforcement activity initiated before he took the ...
Private credit, retail fraud top SEC’s enforcement priority list
The new head of the Securities and Exchange Commission's enforcement division is keeping an eye on stress in the private ...
NASAA asks states to eliminate conflicts with SEC’s new marketing rule
Even as advisors take advantage of an SEC rule that allows them to use client testimonials as part of their ...
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