News
SEC proposes materiality-based executive pay disclosures
The SEC proposed amendments to executive and director compensation disclosures, reducing named executives to two and raising the perquisite threshold to $150,000.
Tag
SEC
News
SEC bars Mingran Wang after $1.3 million spoofing case
The SEC has barred Mingran Wang after his guilty plea and criminal sentence in a $1.3 million spoofing case, following a November 2026 order.
News
SEC puts individual accountability beside NPB’s firm-level case
The SEC closed NPB Financial Group's investor fund after distributing $628,439.04 to harmed investors, while separately barring Christopher Williams for unregistered security-based swap activity.
Analysis
SEC lifts “small entity” thresholds for funds and advisers
The SEC has raised asset thresholds for "small entities" among investment companies and advisers, increasing the adviser threshold to $1 billion and the fund threshold to $10 billion.
News
CFTC says U.S. equity perpetuals can begin trading
CFTC Chairman Michael S. Selig announced that perpetual futures on individual equity securities can now trade on eligible U.S. exchanges, creating a new market structure.
Bitcoin
BlackRock files managed Bitcoin ETF with downside protection
BlackRock filed for the iShares Bitcoin Managed Protect ETF, a new Bitcoin product designed to offer downside protection with an approximate upside limit.
Markets
SEC approves binary options tied to company KPIs
The SEC approved binary options tied to company KPIs, allowing a securities exchange to list these cash-settled, European-style contracts as NMS securities.
News
SEC proposes broader cross-trading for registered funds
The SEC proposed amendments to Rule 17a-7, expanding eligible securities for cross-trading by registered funds, including fixed-income and level 2 securities, with new reporting requirements.
Markets
IEX publishes crypto trust options rules
IEX filed a rule change with the SEC for crypto trust options, setting eligibility rules for single- and multi-asset trusts and revising IBIT limits.
Markets
OKX, ICE file for 24/7 tokenized U.S. stock venue
OKX and Intercontinental Exchange (ICE) have filed with the SEC for a 24/7 tokenized U.S. stock trading venue, initially offering 63 U.S.-listed companies.
