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Updated Nov 11, 8:45 PM
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finance.platphormnews.com
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Page 1 of 1 | 8 items
SEC Announces Enforcement Annual Results for Fiscal Year 2026
The Securities and Exchange Commission today provided its enforcement results for the past fiscal year which ended September 30. Throughout the fiscal year, the SEC’s Division of Enforcement remained focused on its fundamental responsibility: protecting… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Nov 10, 4:15 PM
SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers
The Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Nov 4, 4:28 PM
SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions
The Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief related to inter-affiliate repo… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 30, 7:30 PM
Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence
The Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings to boost confidence in their… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 29, 4:42 PM
SEC Announces Fiscal Year 2027 Examination Priorities
The Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud,… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 23, 2:10 PM
SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers
The U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 20, 1:25 PM
SEC, FSA Hold Autumn Financial Regulatory Dialogue
The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 20, 12:51 PM
SEC Announces Roundtable on Machine-Understandable Data in the Age of Super Intelligence
The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality… Source: U.S. Securities and Exchange Commission. Data status: delayed.
Oct 19, 5:19 PM