By Joe Mont2015-12-31T11:30:00
The SEC has issued an advanced notice of proposed rulemaking and a concept release for new rules governing transfer agents. The Commission intends to propose new rules for transfer agents similar to those recently adopted for registered broker-dealers regarding amended annual reporting, independent audit, and notification requirements. The intent is ...
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
2025-08-18T14:12:00Z By Oscar Gonzalez
The owner of a water machine vending company and a portfolio manager were allegedly behind a Ponzi-like scheme that raised more than $275 million, according to the U.S. Securities and Exchange Commission.
2025-08-13T18:00:00Z By Aly McDevitt
Securities and Exchange Commission Chairman Paul Atkins has launched “Project Crypto,” a major regulatory overhaul aimed at shifting the agency from enforcement to innovation. Atkins’ address outlined as many as nine Commission-wide initiatives to revamp the SEC’s rulebook for the digital finance era.
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