Regulatory AlertsSecurities & Capital Markets regulation in United States
Securities issuance, funds, brokers and capital-markets regulation across jurisdictions. 37 publications, summarized in English and updated same-day.
2026-05-27
SEC Investor Advisory Committee to Host June 4 Meeting
United States
SEC
2026-05-21
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
United States
SEC
2026-05-19
SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
United States
SEC
2026-05-05
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
United States
SEC
2026-04-15
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
United States
SEC
2026-03-17
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
United States
SEC
2026-03-16
SEC Proposes Amendments to Exchange Act Rule 15c2-11
United States
SEC
2023-07-26
Exemption for Certain Investment Advisers Operating Through the Internet
United States
SEC
2023-06-20
Reopening of Comment Period for Position Reporting of Large Security-Based Swap Positions
United States
SEC
2023-05-17
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
United States
SEC
2023-04-28
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
United States
SEC
2023-04-14
Rule 3b-16 Reopening of Comment Period for Crypto and DLT Trading Systems
United States
SEC
2022-12-14
Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
United States
SEC
2022-12-14
Regulation Best Execution
United States
SEC
2022-12-14
Order Competition Rule
United States
SEC
2022-11-02
Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT
United States
SEC
2022-09-14
Standards for Covered Clearing Agencies for U.S. Treasury Securities and Broker-Dealer Customer Protection Rule Application
United States
SEC
2022-08-10
Amendments to Form PF Reporting Requirements for All Filers and Large Hedge Fund Advisers
United States
SEC
2022-08-08
Clearing Agency Governance and Conflicts of Interest Proposed Rule
United States
SEC
2022-07-29
Exemption for Certain Exchange Members
United States
SEC
2022-07-13
Proposed Rule on Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8
United States
SEC
2022-06-08
Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
United States
SEC
2022-05-25
Investment Company Names
United States
SEC
2022-05-09
Reopening of Comment Periods for Private Fund Advisers and Exchange Act Amendments to Alternative Trading Systems
United States
SEC
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