62% of investors oppose SEC proposal to reduce public company quarterly reports
Most investors would prefer the U.S. Securities and Exchange Commission stick to quarterly reporting rather than requiring semiannual reporting for ...
Thursday, August 6, 2026
Tag: SEC
Should advisors even care if SEC green-lights semiannual reporting?
Even though advisors might recommend clients invest in funds rather than individual stocks, having less frequent data in terms of ...
SEC targets 20-year-old rule standing between Wall Street and blockchain trading
The Securities and Exchange Commission (SEC) is moving to dismantle a stock-trading rule that has governed Wall Street for two ...
SEC to RIAs: You also have to worry about cash sweeps
As lawsuits keep piling up against brokerage firms over their "cash sweeps" policies, the SEC is reminding RIAs of their ...
OpenAI files confidential SEC S-1 paperwork for IPO
ChatGPT maker OpenAI filed preliminary paperwork that would open the door to it becoming a publicly traded company, the third in a ...
SEC Draft Plan Would Curb Enforcement Reach and Cement Atkins’s Crypto Turn
The US Securities and Exchange Commission (SEC) has put its turn under Chairman Paul Atkins into writing, publishing a draft ...
SEC Charges Texas Man With $12.3M Crypto Fraud Using Fake AI Trading Bots
The Securities and Exchange Commission has charged a Texas man with running a crypto fraud scheme that raised $12.3 million ...
SEC Holds Back Tokenized Equity Rules Over Regulatory Concerns
The U.S. Securities and Exchange Commission (SEC) has postponed plans to develop rules for trading tokenized stocks in the country. ...
SEC delays plan providing crypto firms exemptions to trade tokenized versions of stocks (BITW:NYSEARCA)
May 22, 2026, 3:21 PM ETBitwise 10 Crypto Index Fund ETF (BITW), BITQ, FDIG, STCE, AIQ, AIEQ, AIPI, GDLC, BLOX, ...
Implications Of The SEC Proposal(s) For New $1B AUM Threshold(s) For Small Entities And Federal Registration
An important (albeit time-consuming) part of running an RIA is fulfilling the compliance obligations required by the firm's regulator(s). Currently, ...
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