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Keith E. Cassidy Named Director of the Division of Examinations
February 5, 2026
Regulatory Framework for Finders
February 5, 2026
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
February 5, 2026
Enforcement: Commission Opinion and Adjudicatory Order - Roberto Mejill-Tellado
January 14, 2026
Enforcement: Commission Opinion and Adjudicatory Order - W&E Source Corp.
January 14, 2026
Compliance Outreach on Regulation S-P
January 14, 2026
Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals
January 14, 2026
SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
January 14, 2026
SEC Publishes Staff Report on Capital-Raising Dynamics
January 14, 2026
Paul Tzur and David Morrell Named Deputy Directors of the Division of Enforcement
January 14, 2026
Fiscal Year 2026 Examination Priorities
January 14, 2026
Municipal Advisors: Staff Assessment of Risks, Scoping of Examinations, and Requesting of Documents
January 14, 2026
Risk Alert: Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule
January 14, 2026
SEC to Host Hybrid Event on Regulation S-P for Small Firms
January 14, 2026
SEC Division of Examinations Announces 2026 Priorities
January 2, 2026
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