SEC
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GRIP Extra: FINRA advances remote inspection reforms, IOSCO updates secondary market disclosure standards
Our in-brief roundup of notable stories from the last week.
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SEC proposes to scrap Regulation NMS trade-through rules
Agency says rules do not reflect modern environment and change could generate aggregate annual savings of up to $45.6m.
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Peirce out: SEC Commissioner reflects on markets and modernization
In remarks looking toward her upcoming departure from the SEC, Commissioner Peirce spoke of why US capital markets inspire people globally to raise money and invest in the US.
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SEC proposes to rescind its climate disclosure rules; long live climate disclosure?
This articles discusses the rescission proposal and what it means for climate disclosure by US public companies.
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SEC flags adviser conflict of interest issues
Identified problems included nondisclosure of advisers’ financial incentives and clients being charged for services they did not receive.
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Biomed investment analyst charged with insider trading
In parallel enforcement actions, the DOJ and SEC have charged an analyst with two counts each of securities fraud for trading on nonpublic information.
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World regulators tackle investor fraud lurking in social media
As consumers turn to social media for financial advice, the chances for fraud are a new reality. Global financial regulators have some plans for tackling the problem.
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Halfway through 2026, Valerie Mirko reflects on SEC and FINRA
Mirko explains how the SEC’s initiation of a sweeping shift in regulatory policy is affecting regulated businesses, or for the pending changes, how it could.