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News
SEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINES
2+ day, 4+ hour ago (234+ words) Washington, D.C., Nov. 5, 2026 — On Friday, November 21, U.S.Securities and Exchange Commission Chairman Arthur Levitt, U.S.Representative Greg Ganske, and Craig Goettsch, Iowa’sSuperintendent of Securities, will hold an Investors’ TownMeeting at the Embassy Suites Hotel in Des Moines, Iowa. Morethan 800 investors are…...
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
1+ week, 2+ day ago (317+ words) The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years… Official websites use.gov Secure.gov websites use HTTPS…...
SEC Investor Advisory Committee to Host Sept. 10 Meeting
1+ week, 2+ day ago (129+ words) Washington D.C., Sept. 3, 2026 — The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the…...
SEC Proposes to Modernize Rules for Registered Transfer Agents
1+ week, 4+ day ago (147+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents. “This proposal would streamline and modernize the Commission’s rules to reflect transfer agents’ current processes and operations, including the…...
Statement on Proposed Amendments to the SEC’s Transfer Agent Rules
1+ week, 4+ day ago (156+ words) It has been 40 years since the Commission last significantly updated its transfer agent rules.[1] In 2015, Commissioners Luis Aguilar and Dan Gallagher warned that the rules were already “anachronistic” and out of sync with industry practices.[2] They urged that critical reforms…...
September Fed decision is now a coin flip as rate hike odds increase post Warsh
2+ week, 1+ day ago (329+ words) Kevin Warsh's keynote speech at the central bank's annual symposium in Jackson Hole, Wyo. has altered investors' outlook for an interest rate hike in September after the Fed chairman said he was committed to fighting inflation. Traders on prediction market…...
Guggenheim's Walsh says accounting at GPI unit was 'appropriate"
2+ week, 4+ day ago (353+ words) Guggenheim Partners is working with regulators as they probe a business accounting issue at one of its subsidiaries, according to Anne Walsh, chief investment officer of the firm's asset-management business. "We have been very open with regulators and very cooperative…...
Update on the SEC’s Work Toward Treasury Clearing Implementation [August 2026]
1+ mon, 5+ day ago (159+ words) The Commission continues its ongoing work to support the orderly and effective implementation of the Treasury Clearing Rule1 in anticipation of mandatory clearing for U.S. Treasury cash transactions at the end of the year and U.S. Treasury repo transactions by June 30, 2027.2 Earlier this…...
Ken Griffin's Citadel posts best month in years after scooping up Situational Awareness stocks
1+ mon, 1+ week ago (224+ words) Ken Griffin's Citadel posted strong gains across its major hedge funds in July, helped by a recovery in risk assets and a discounted purchase of assets from the collapse of Leopold Aschenbrenner's Situational Awareness to end the month, according to…...
Frazier & Deeter acquires Gray, Gray & Gray
1+ mon, 1+ week ago (272+ words) Top 50 Firm Frazier & Deeter acquired New England Regional Leader Gray, Gray & Gray. GGG, based in Canton, Massachusetts, reported $43 million in revenue, with 15 partners and over 150 employees. The deal expands FD's presence across the Greater Boston area. Based in Atlanta, FD…...