Markets
SEC Opens Comment Process for Binary KPI Options
The SEC has opened a comment period for NYSE Arca and NYSE American proposals to list binary KPI options, which would settle based on issuer-reported financial and operating metrics.
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sec
Markets
SEC opens five-year window for tokenized stock venues
The SEC has issued a five-year Innovation Exemption allowing Tokenized Securities Venues to trade tokenized NMS stocks under specific conditions until September 17, 2031.
Analysis
SEC targets shareholder proposal rule, shifting fight toward states
The SEC proposed rescinding Rule 14a-8, removing the federal path for shareholder proposals and giving companies more discretion over proxy voting, while cutting a broker-search window by 75%.
News
Atkins ties Solana summit remarks to SEC crypto framework
SEC Chairman Paul S. Atkins outlined a unified U.S. regulatory framework for digital assets at the Solana Policy Institute Summit, connecting Project Crypto, the CLARITY Act, and custody rules.
News
SEC charges Boateng, firms over alleged $16M Ponzi
The SEC has charged Ernest Ossei Boateng and two companies with operating a $16 million Ponzi scheme, allegedly diverting funds for personal expenses and earlier investor payments.
Analysis
SEC proposes scrapping adviser pay-to-play rule
The SEC has proposed rescinding Rule 206(4)-5, which currently bars investment advisers from receiving compensation for two years if they make political contributions above a de minimis threshold.
Analysis
SEC targets SYQH and LZGI over years of missing filings
The SEC initiated administrative proceedings against SYQH and LZGI for failing to file required periodic reports, potentially suspending or revoking their securities registrations.
News
SEC charges two former PPMG executives over alleged investor fraud
The SEC has charged former PPMG executives Mark Hanf and Hoai-Nam Chu Phan with offering fraud, alleging they siphoned over $80 million from 190 investors.
Analysis
SEC transfer-agent overhaul puts onchain records in view
The SEC's proposed overhaul of transfer agent rules, dating to the 1970s, raises questions about onchain records, wallet identifiers, and compliance for digital securities.
Analysis
CFTC and SEC push Form PF compliance date to July 2027
The CFTC and SEC have extended the Form PF compliance deadline for 2024 amendments from October 1, 2026, to July 1, 2027, giving private-fund advisers more time.
