Live Updates

Remarks at the Economic Club of Dallas

Chairman Paul S. Atkins

Why this matters

The content is limited to the title, speaker name, and venue (Economic Club of Dallas), with no substantive text. Per the evidence rule, no sector or topic is inferred from the SEC's general remit, so General is used for both. The item is informational, so urgency is null.

Sectors:
Topics:
All Firms

“Transfer Portal”

Jamie Selway, Director, Division of Trading and Markets

Why this matters

The publication type is set by the regulator as speech, and the RSS summary contains only the title 'Transfer Portal' and the speaker's name and title. The text does not support any specific sector or topic, so General is used for both. Firm types are not supported by the text, so All Firms is used.

Sectors:
Topics:
All Firms

Remarks at the Small Business Capital Formation Advisory Committee Meeting

SEC Chairman Paul S. Atkins

Why this matters

The item is a speech by a named official (SEC Chairman Atkins). The title references small business capital formation, which supports Capital Markets & Trading as the sector. No specific topic or firm type is supported by the limited text, so General and All Firms are used.

All Firms

Remarks at the Stanford University Private Capital Roundtable

Brian Daly, Director of the Division of Investment Management

Why this matters

The item is remarks by a named SEC official, so it is classified as a speech. The title ties it to private capital, which supports Investment Management and private-fund firm types. The summary gives no specific obligations, proposals, or topics, so the topic is General and urgency is null.

Topics:
Asset ManagerHedge Fund

Statewide Joint Powers Authorities and Energy Prepay Bonds

Dave Sanchez, Director, Office of Municipal Securities

Why this matters

The publication type is set by the regulator as a speech by a named official (Director, Office of Municipal Securities). The text supplies only the title and speaker, so the sector is limited to Capital Markets & Trading, since joint powers authorities and energy prepay bonds are municipal debt instruments.

Broker Dealer

How Soon is Now? Remarks at the Security Traders Association’s 93rd Annual Market Structure Conference

Jamie Selway, Director, Division of Trading and Markets

Why this matters

The document is a speech by the SEC Division of Trading and Markets Director at a market structure conference, so it is classified as speech. The venue supports Capital Markets & Trading, but the summary gives no specific subject matter, so the topic is General.

Broker Dealer

Statement on the Commission’s Approval of a Proposed Rule Change to Permit the Listing of Binary Options Overlying Key Performance Indicators

Chairman Paul S. Atkins

Why this matters

The publication type is a speech by a named official (Chairman Atkins), so it is classified as speech with null urgency. The title states that the Commission approved a proposed rule change to permit listing of binary options overlying key performance indicators, which supports Capital Markets & Trading as the sector.

Broker DealerAsset Manager

When an “IRMA” Is Not Quite an IRMA: Revisiting the Requirements of the Independent Registered Municipal Advisor Exemption

Dave A. Sanchez, Director, Office of Municipal Securities

Why this matters

The document is a speech by the Director of the SEC Office of Municipal Securities, so it is classified as speech with no urgency since it is informational. The RSS summary supports only the municipal advisor registration exemption, so the sector and topic are limited to capital markets and authorisation/licensing.

Broker Dealer

Statement on Departure of Commissioner Hester Peirce

Chairman Paul S. Atkins Commissioner Mark T. Uyeda

Why this matters

The content is a statement on the departure of SEC Commissioner Hester Peirce, mentioning Chairman Paul S. Atkinsand Commissioner Mark T. Uyeda. This is purely administrative and personnel-related with no substantive regulatory guidance, rules, or enforcement implications.

All Firms

Statement on Proposal to Address the Custody of Crypto Assets Under the Investment Advisers Act and the Investment Company Act

Chairman Paul S. Atkins

Why this matters

This is a speech/statement from SEC Chairman Atkins regarding a proposal to address custody of crypto assets under the Investment Advisers Act and Investment Company Act. As a statement rather than a final rule or consultation document, it is informational in nature (urgency: null).

Asset ManagerWealth Manager
🇺🇸 SEC Speech Urgency: high Significant

Roller Coaster Ride: Statement on Proposed Adviser and Regulated Fund Custody Rules; Crypto Custody Rules

Commissioner Hester M. Peirce

Why this matters

This is a statement on proposed rules from SEC Commissioner Peirce regarding adviser custody, regulated fund custody, and crypto custody arrangements. The title signals multiple concurrent regulatory proposals affecting asset managers, broker-dealers, and crypto platforms.

Asset ManagerBroker DealerCrypto Exchange
🇺🇸 SEC Speech Urgency: high Significant

Statement on Proposed Amendments to the Custody Rules

Commissioner Mark T. Uyeda

Why this matters

This is a statement on proposed amendments to custody rules from SEC Commissioner Uyeda. Custody rules directly govern how investment firms and wealth managers safeguard client assets, making this a consultation with broad applicability to regulated custodians and asset managers.

Asset ManagerBroker DealerWealth Manager

Staff Statement on Affiliations Between National Securities Exchanges and Broker-Dealers

Division of Trading and Markets

Why this matters

The content is a staff statement from SEC's Division of Trading and Markets addressing affiliations between national securities exchanges and broker-dealers. This is regulatory guidance on structural and licensing matters affecting broker-dealers and exchanges.

Broker Dealer

The Other AI: Remarks at the Open Commission Meeting on Accredited Investor Notices under Rule 501(a)(10) of Regulation D

Commissioner Hester M. Peirce

Why this matters

The content is a speech by SEC Commissioner Peirce on accredited investor rule notices, which relates to capital markets regulation and investor qualification standards. As a speech rather than a rule, guidance, or enforcement action, it is informational in nature with limited immediate practical impact.

Asset ManagerBroker Dealer
🇺🇸 SEC Speech Urgency: medium Significant

Performance Interval: Statement on Proposals to Facilitate Retail Investor Access to Private Investments

Commissioner Hester M. Peirce

Why this matters

This is a formal SEC consultation (not binding but policy-significant) on retail access to private investments. The statement from Commissioner Peirce indicates active SEC consideration of rule changes that would affect how investment firms structure and distribute private investment products to retail clients.

Asset ManagerBroker DealerWealth Manager
🇺🇸 SEC Speech Urgency: low

Statement at Open Meeting on Proposals to Expand Responsible Retailization of Private Markets

SEC Chairman Paul S. Atkins

Why this matters

This is a speech/statement by SEC leadership at an open meeting discussing proposals to expand retail participation in private markets. The content supports investment management, capital markets, and licensing/disclosure topics. The firm types affected would be those managing or distributing private market products.

Asset ManagerBroker DealerWealth Manager
🇺🇸 SEC Speech Urgency: high Significant

Statement on Proposed Amendments to Adviser Performance-Based Compensation, Interval Fund Modernization, and Multiple Share Class Rules for Closed-End Funds and BDCs

Commissioner Mark T. Uyeda

Why this matters

This is a statement on proposed amendments from an SEC Commissioner addressing multiple rule changes affecting adviser performance-based compensation, interval funds, and closed-end fund share classes.

Asset ManagerBroker Dealer

Statement on Fair Value Measurement and Disclosure Considerations for Private Assets

Kurt Hohl, Chief Accountant Brian Daly, Director, Division of Investment Management

Why this matters

This is a statement from senior SEC officials addressing fair value measurement and disclosure practices for private assets held by investment managers. The involvement of the Chief Accountant and Director of Investment Management indicates this is policy guidance rather than a binding rule.

Asset Manager

Looking for Change in Haystacks: Remarks before SIFMA’s Digital Assets Conference

Commissioner Hester M. Peirce

Why this matters

This is a speech by SEC Commissioner Hester M. Peirce at SIFMA's Digital Assets Conference. The title 'Looking for Change in Haystacks' suggests commentary on regulatory approach to digital assets.

Crypto ExchangeFintechBroker Dealer

Remarks at the 2026 U.S. Treasury Market Conference

Commissioner Mark T. Uyeda

Why this matters

The content is identified as a speech (remarks) by SEC Commissioner Mark T. Uyeda at the 2026 U.S. Treasury Market Conference. With only the title and source available, the specific subject matter cannot be determined. The Treasury market context suggests Capital Markets & Trading as the relevant sector.

All Firms
🇺🇸 SEC Speech Urgency: critical

Remarks Before 12th Annual Government Enforcement Institute

David Woodcock, Director, Division of Enforcement

Why this matters

This is a speech by David Woodcock, SEC Division of Enforcement Director, at the 12th Annual Government Enforcement Institute. The content is informational and forward-looking rather than announcing new rules or enforcement actions.

All Firms

Remarks at the Roundtable on Preparations for 24‑Hour Trading

Jamie Selway, Director, Division of Trading and Markets

Why this matters

The content is a speech/remarks at a roundtable on preparations for 24-hour trading. As an RSS summary only with no substantive policy detail provided, this represents early-stage discussion rather than a regulatory announcement with concrete obligations.

Broker Dealer

Statement on the Innovation Exemption: A Bridge Toward Durable Rulemaking

SEC Chairman Paul S. Atkins

Why this matters

The title references an 'Innovation Exemption' and 'Durable Rulemaking,' indicating SEC policy guidance on regulatory relief or flexibility mechanisms. As a statement from the SEC Chairman (not a final rule or enforcement action), this is informational in nature.

All Firms

Statement on the Innovation Exemption

Commissioner Mark T. Uyeda

Why this matters

The submission contains only a title, source, and attribution to SEC Commissioner Mark T. Uyeda with a note that it is an RSS summary only. No actual content of the statement is provided, making it impossible to identify specific sectors, topics, or regulatory obligations.

Sectors:
Topics:
All Firms

EXAMS Accessible and Integrated

Keith Cassidy, Director, Division of Examinations

Why this matters

The update contains only a name and title (Keith Cassidy, Director, Division of Examinations) with no details about regulatory changes, guidance, enforcement actions, or policy initiatives. It is purely administrative and informational in nature.

Sectors:
Topics:
All Firms
🇺🇸 SEC Speech Urgency: high Significant

Statement on Proposals to Rescind Rule 14a-8, Amend Rule 14a-4, and Modernize Proxy Solicitation

SEC Chairman Paul S. Atkins

Why this matters

This is a formal SEC consultation on substantive proxy rule amendments with broad applicability to public company governance and shareholder communications. The proposals directly impact reporting and disclosure obligations under securities law.

All Firms

A Proposal on Proposals: Remarks on the Proposals to Rescind Rule 14a-8 and Modernize Proxy Solicitation Rules

Commissioner Hester M. Peirce

Why this matters

This is a speech by SEC Commissioner Peirce discussing proposals affecting Rule 14a-8 (shareholder proposals) and proxy solicitation rules. The content addresses capital markets disclosure and governance mechanisms. As a speech rather than a binding rule or final guidance, urgency is null.

All Firms
🇺🇸 SEC Speech Urgency: high Significant

Statement on the Proposed Rescission of Rule 14a-8 and Proposed Proxy Solicitation Modernization

Commissioner Mark T. Uyeda

Why this matters

This is a formal SEC statement on a proposed rule rescission and modernization initiative. Rule 14a-8 governs shareholder proposals, a core proxy disclosure mechanism. The consultation signals potential material changes to shareholder rights and corporate governance disclosure obligations affecting all public firms.

All Firms

Remarks at the Solana Policy Institute Summit: Washington x Wall Street

Chairman Paul S. Atkins

Why this matters

This is a speech by SEC Chairman Paul Atkins at the Solana Policy Institute Summit. The title references 'Washington x Wall Street' and the venue (Solana-focused) indicates discussion of crypto/digital assets policy. As a speech with only an RSS summary available, the content is informational rather than prescriptive.

All Firms

Remarks at the Investor Advisory Committee Meeting

Paul S. Atkins, Chairman

Why this matters

The content is limited to a title and speaker attribution (Paul S. Atkins, SEC Chairman) at an Investor Advisory Committee meeting. No actual remarks, policy positions, guidance, or regulatory substance is present in the RSS summary provided. This is purely administrative/informational.

Sectors:
Topics:
All Firms
🇺🇸 SEC Speech Urgency: medium

First Amendment Sense and Sensibilities: Statement on Proposed Rescission of Pay-to-Play Rule

Commissioner Hester M. Peirce

Why this matters

This is a Commissioner's statement regarding a proposed rescission of the SEC's pay-to-play rule (Rule 206(4)-5), which restricts political contributions by investment advisers and associated persons.

Broker DealerAsset Manager
🇺🇸 SEC Speech Urgency: medium

Statement on Proposed Amendments to the SEC’s Transfer Agent Rules

Commissioner Mark T. Uyeda

Why this matters

The content is a statement from SEC Commissioner Uyeda regarding proposed amendments to transfer agent rules. Transfer agents are critical infrastructure in capital markets operations, primarily regulated entities within the broker-dealer ecosystem.

Broker Dealer
🇺🇸 SEC Speech Urgency: medium Significant

Statement on Regulation Crypto Assets: Fit-for-purpose Exemptions for Crypto Market Innovation

Paul S. Atkins, Chairman

AI Analysis

On August 18, 2026, the SEC proposed Regulation Crypto Assets, a tailored framework for certain non-security crypto assets associated with investment contracts. The proposal would create a $5 million startup exemption over four years, a $75 million fundraising exemption per 12-month period, and a conditional safe harbor for ending the investment-contract relationship; independent market reporting characterizes the package as a significant attempt to bring token issuance and capital formation back to the United States, but it is not yet binding and remains subject to finalization.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Response Due: 17 October 2026
Asset ManagerBroker DealerCrypto Exchange
Fintech

Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release

Commissioner Hester M. Peirce

Why this matters

The title references a regulatory proposal on crypto assets from an SEC Commissioner. The content is a speech/commentary (RSS summary only), which is informational in nature rather than a binding rule or enforcement action.

Response Due: 17 October 2026
Crypto ExchangeFintech

Statement on Regulation Crypto Assets

Commissioner Mark T. Uyeda

Why this matters

The update is identified as an RSS summary of a statement by SEC Commissioner Mark T. Uyeda on crypto assets regulation. Without the full text, only the title and source are available. This is a speech or statement—informational in nature—rather than a consultation, final rule, or enforcement action.

Topics:
All Firms

Statement on Commencement of Appointment Process for Public Company Accounting Oversight Board Seat

Paul S. Atkins, Chairman

Why this matters

The content is a personnel/governance announcement by SEC Chairman Paul S. Atkins regarding the initiation of a recruitment process for a Public Company Accounting Oversight Board position. It is informational in nature with no new rules, obligations, or enforcement actions.

All Firms

Updated Statement Regarding the Division of Corporation Finance’s Role in the Exchange Act Rule 14a-8 Process

Division of Corporation Finance

Why this matters

The update is a statement regarding the Division's role in Exchange Act Rule 14a-8 (shareholder proposals), which is a disclosure and governance matter affecting public companies. The RSS summary format and 'news' classification indicate this is informational rather than a new binding obligation or enforcement action.

All Firms

Restoring Regulatory Clarity: Statement on Technical Amendments to Rule 0‑1(a)(7)

Commissioner Mark T. Uyeda

Why this matters

The title references Rule 0-1(a)(7), an SEC procedural rule governing technical amendments and regulatory clarity. As a commissioner statement rather than a final rule or enforcement action, and with only an RSS summary available, the content is informational in nature.

Broker Dealer

Headstands and Summervaults: A Statement on Crypto Vaults and Lending Strategies

Commissioner Hester M. Peirce

Why this matters

The title references crypto vaults and lending strategies, and the source is SEC Commissioner Peirce, indicating a regulatory statement on crypto-related financial products. The RSS summary format and news classification suggest this is informational commentary rather than a binding rule or enforcement action.

Crypto ExchangeFintech

Remarks at the Small Business Capital Formation Advisory Committee Meeting

No description available.

Why this matters

The update is a speech at the SEC's Small Business Capital Formation Advisory Committee meeting. With only a title and no substantive content summary provided, classification is constrained to what the title supports: small business capital formation relates to capital markets and licensing/authorization frameworks.

All Firms

Seeking Public Comment on Seeking Public Capital: Remarks Before the Small Business Capital Formation Advisory Committee

Commissioner Hester M. Peirce

Why this matters

The content is a speech by SEC Commissioner Hester M. Peirce before the Small Business Capital Formation Advisory Committee. The title references seeking public comment and capital formation, which relates to capital markets and licensing/authorization frameworks.

All Firms

Statement on Regulation E-Delivery

SEC Chairman Paul S. Atkins

Why this matters

The submission contains only a title and attribution (SEC Chairman Paul S. Atkins statement on Regulation E-Delivery) with an RSS summary note. No actual content, obligations, policy positions, or regulatory signals are present. This is insufficient to classify beyond administrative/informational level.

Sectors:
Topics:
All Firms
🇺🇸 SEC Speech Urgency: medium Significant

Paper Taper: Statement on Proposed Regulation E-Delivery

Commissioner Hester M. Peirce

AI Analysis

The SEC issued a proposal for **Regulation E-Delivery**, which would let covered securities-law senders deliver required information electronically without first getting affirmative consent, so long as specified conditions are met. The proposal matters because it would shift the current paper/opt-in default toward an electronic default for a wide range of investor and client disclosures, while preserving paper delivery rights on request.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Deadline: 21 September 2026
Asset ManagerBroker DealerBank
All Firms
🇺🇸 SEC Speech Urgency: medium Significant

Statement on Proposed Regulation E-Delivery

Commissioner Mark T. Uyeda

AI Analysis

The SEC proposed Regulation E-Delivery on July 16, 2026, to let covered entities satisfy many federal securities law delivery obligations electronically by default, without first obtaining affirmative consent. The proposal matters because it would replace the SEC’s long-standing opt-in orientation with a rule-based opt-out framework for a broad set of disclosures, while preserving paper delivery rights on request and adding transition notices for recipients moved from paper to electronic delivery.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Deadline: 21 September 2026
Asset ManagerBroker DealerBank
All Firms

Remarks at the Society for Corporate Governance Conference

No description available.

Why this matters

The update is a speech (informational content) with no description provided beyond the title and venue. The title references corporate governance, which supports the Senior Managers / Governance topic. However, the absence of any summary content prevents identification of specific sectors or firm types affected.

All Firms

Statement on the 2026 Regulatory Agenda

SEC Chairman Paul S. Atkins

Why this matters

The content is a statement/speech by SEC leadership regarding future regulatory priorities. No specific rules, enforcement actions, or concrete obligations are detailed in the RSS summary provided. This is a forward-looking agenda announcement rather than a binding regulatory action or detailed policy guidance.

Sectors:
Topics:
All Firms

Remarks at the Economic Club of New York

SEC Chairman Paul S. Atkins

Why this matters

This is a policy speech by the SEC Chairman articulating the agency's strategic direction under the 'ACT strategy' (Advance, Clarify, Transform). It contains multiple regulatory signals: modernization of digital asset frameworks and Project Crypto; SEC-CFTC MOU on jurisdictional clarity; proposed IPO and filer status...

Broker DealerAsset ManagerCrypto Exchange

Remarks to the US-CEE Connection: Transatlantic Challenges in Law, Business & Policy

Commissioner Mark T. Uyeda

Why this matters

The content is identified as a speech (remarks) by SEC Commissioner Mark T. Uyeda on US-CEE transatlantic issues. No specific regulatory sectors, topics, or obligations are evident from the title and RSS summary alone. This is routine informational content without actionable regulatory directives.

Sectors:
Topics:
All Firms

Statement Regarding Minimum Pricing Increments and Access Fee Caps

Paul S. Atkins, Chairman

Why this matters

The title references minimum pricing increments and access fee caps, which are market structure and trading conduct matters under SEC purview. The content is a Chairman's statement (informational/policy signal rather than binding rule), so urgency is null.

Broker Dealer
🇺🇸 SEC Speech Urgency: medium Significant

Statement at the SEC Open Meeting on the Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

SEC Chairman Paul S. Atkins

AI Analysis

The SEC Chairman used the June 11, 2026 open meeting to signal support for a proposal that would rescind Regulation NMS Rule 611 (the Order Protection / trade-through rule) and Rule 610(e) (the locked and crossed markets provision). For compliance professionals, this is a significant market-structure signal because it could remove core intermarket price-protection and quotation-handling obligations that have applied to NMS stocks since 2005.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Response Due: 10 August 2026
Broker DealerAsset ManagerHedge Fund
All Firms
🇺🇸 SEC Speech Urgency: medium Significant

Disorder Protection Rule: Statement on the Proposed Amendments to Rule 611 and Other Provisions of Regulation NMS

Commissioner Hester M. Peirce

AI Analysis

The SEC proposed rescinding Regulation NMS Rule 611, the trade-through/order protection rule, and Rule 610(e), the locked and crossed markets prohibition, along with related definitions and conforming amendments. Commissioner Peirce supported the package as a simplification measure, and the proposal matters because it would materially change core U.S. equity market-structure obligations if adopted.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Response Due: 10 August 2026
Broker DealerBankAsset Manager
All Firms
🇺🇸 SEC Speech Urgency: medium Significant

Statement on the Proposed Amendments to Regulation NMS

Commissioner Mark T. Uyeda

AI Analysis

Commissioner Uyeda’s statement announces a proposed SEC rollback of core Regulation NMS protections, centered on rescinding Rule 611’s trade-through prohibition and Rule 610(e)’s locked/crossed market restrictions. The proposal matters because it would materially change how national market system stocks are quoted and executed, shifting market structure obligations away from federal price-protection rules.

AI-generated analysis. May contain errors or omissions — verify with the original SEC source before acting. Full disclaimer.

Response Due: 17 August 2026
Broker DealerAsset ManagerHedge Fund
Bank

This Old House: Improving and Remodeling Our Registered Offering and Filer Status Regimes

Jim Moloney, Director, Division of Corporation Finance

Why this matters

The title references SEC regimes governing registered offerings and filer status, which are core disclosure and authorization frameworks affecting public capital markets participants. The speaker's seniority and the framing as 'improving' these regimes suggests policy intent.

Broker Dealer

Peirce Out: Remarks at the U.S. Chamber of Commerce Capital Markets Summit

Commissioner Hester M. Peirce

Why this matters

The item is a speech (remarks) by SEC Commissioner Hester M. Peirce at the U.S. Chamber of Commerce Capital Markets Summit. Only the title, source, and speaker are provided; the RSS summary does not include substantive content. Capital Markets & Trading is inferred from the summit's focus.

All Firms

“Harmonization: We’ll Have Lots to Talk About”

Jamie Selway, Director, Division of Trading and Markets

Why this matters

The content is a news item reporting on a speech by Jamie Selway, Director of the SEC's Division of Trading and Markets, with the title suggesting discussion of harmonization. The RSS summary only provides minimal detail—no specific rules, obligations, enforcement actions, or concrete policy signals are evident.

All Firms