Government ❯ Regulatory Agencies

Securities Regulation

Market Oversight Enforcement Actions Corporate Oversight EDGAR System Corporate Governance Investor Protection Corporate Finance Financial Compliance SEBI Act U.S. Securities and Exchange Commission State Laws Policy Changes CVM Public Companies Crypto Assets Market Structure Jurisdiction Issues Economic Impact Analysis CFTC Financial Markets Oversight Financial Oversight Financial Disclosure Public Company Reporting Investment Management Oversight Financial Reporting Market Participation Proposed Rules FINRA SEC Proposals Comissão de Valores Mobiliários SEBI Investor Protection

Supreme Court Bars Private Rescission Suits Under the Investment Company Act

The June 11 ruling channels enforcement of the 1940 Act to the SEC, reducing a private litigation route activist investors had used to void fund bylaws.

SEC Proposes Broad Rewrite of Registered Offering Rules and Filer Status

SEC Proposes Optional Semiannual Reporting on New Form 10-S

SEC Eases Rollout of FPI Insider Reports With Targeted Exemptions and Temporary Filing Relief

ADM Pays $40 Million to Settle SEC Case on Nutrition Accounting as DOJ Closes Probe

SEC Allows Nasdaq to Remove Position Limits on Crypto ETF Options

SEC Staff Clarifies How Broker-Dealers Can Custody Crypto Securities Under Rule 15c3-3

SEC Corp Fin Pauses Most Rule 14a-8 No-Action Reviews for 2025–26 Proxy Season

Jack's Donuts Commissary Files for Chapter 11 Bankruptcy in Indiana