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Mark Uyeda pledges to return SEC to ‘gold standard’ rulemaking
Acting Chair described 2025 as a year of “tremendous potential” in address to ICI Management Conference.
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SEC’s Names Rule gets updated compliance dates
Modification allows for compliance based on timing of annual fund disclosure and reporting obligations tied to fund’s fiscal year-end.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC sustains most NYSE judgments against Lek Securities Corporation
LSC argued that the NYSE’s monetary penalties were excessive, and judgments related to faulty supervision were redundant.
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SEC grants additional accommodations for draft registration statements
The move is aligned with the SEC’s recent push to “make IPOs attractive gain.”
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SEC extends compliance dates for two rules related to clearing US Treasuries
SEC move aims to help firms fine-tune their policies and procedures.
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Uyeda signals new approach to retail investment in private companies
Acting chair said SEC’s mission is to facilitate capital formation, while protecting investors and maintaining fair and efficient markets.
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SEC plans to cut regional office directors as part of cost scrutiny
The SEC is poised to eliminate directors across 10 regional offices, sources say.