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News
Municipal Securities Underwriters Pay a Total of $325,000 in Fines
3+ day, 6+ hour ago (61+ words) Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities...firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the...
Xerocon 2026: use AI but stay aware of security risks
2+ week, 5+ day ago (581+ words) Another big security hole, she said, is that while an LLM's reasoning packets can be encrypted, this...This is a gigantic security hole LLMs have not fixed yet," she said....Overall, she said, AI safety comes with understanding the AI…...
SEC Proposes New Regulation Crypto Assets
3+ week, 5+ day ago (498+ words) The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation...this Section SEC Proposes New Regulation Crypto Assets Washington D.C., Aug. 18, 2026 — The Securities...This proposal follows the Commission’s March 2026 interpretation clarifying how the federal securities...Together,…...
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
1+ week, 5+ day ago (419+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today announced the agenda and...Visitors will be subject to security checks....Moderators: Jon Kroeper, SEC Division of Trading and Markets, and Katie Kolchin, Securities Industry...
Time to Transfer: Statement on Proposed Transfer Agent Rules
1+ week, 5+ day ago (555+ words) its transfer agent rules in almost 30 years, a period that has witnessed sweeping changes in the securities...They maintain the official record of ownership of an issuer’s securities and facilitate the issuance,...cancellation, and transfer of securities....
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
2+ week, 2+ day ago (286+ words) The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities...Exchange Act Rule 3a12-8 to Add European Union Debt Obligations Washington D.C., Aug. 28, 2026 — The Securities...and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of......
SEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINES
3+ day, 6+ hour ago (234+ words) Chairman Arthur Levitt, U.S.Representative Greg Ganske, and Craig Goettsch, Iowa’sSuperintendent of Securities...Investors’ Town Meeting is the 21st of a national seriesto promote public understanding of the securities...The TownMeeting format also enables securities officials to hear directlyfrom investors on how…...
SEC Investor Advisory Committee to Host Sept. 10 Meeting
1+ week, 3+ day ago (129+ words) Washington D.C., Sept. 3, 2026 — The Securities and Exchange Commission’s Investor Advisory Committee...priorities and various initiatives to help protect investors and promote the integrity of the U.S. securities...
SEC Proposes to Modernize Rules for Registered Transfer Agents
1+ week, 5+ day ago (147+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today proposed to update the...operations, including the use of electronic communications and blockchain technology in connection with securities...
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
3+ week, 5+ day ago (385+ words) The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the...With $1.9 Billion Collapse of Subprime Auto Lender Tricolor Washington D.C., Aug. 18, 2026 — The Securities...double pledging hundreds of millions of dollars of subprime auto loans to multiple…...