Officials at the Securities and Exchange Commission (SEC) say that they are bringing greater transparency to public markets via the launch of a statistics and data visualization page that offers statistics and graphics on initial public offerings, exempt offerings, corporate bond offerings, reporting issuers, municipal advisors, transfer agents, and household participation in the capital markets…. Read More >>
SEC Designates Acting Chair for the PCAOB
Independent watchdog, the Public Company Accounting Oversight Board (PCAOB), will soon have a new acting chair, George R. Botic, who will take over for PCAOB Chair Erica Y. Williams after her resignation takes effect July 22, 2025. This is according to the Securities and Exchange Commission (SEC), which designated the line of succession for the… Read More >>
Congress Mulls the Fate of the PCAOB
Securities firms, investors, government officials, and all other capital markets participants rely on the financials that auditors of public companies provide. Yet scandals large and small led to the creation of an auditor of the auditors in 2002, dubbed the Public Company Accounting Oversight Board (PCAOB), which was fostered by the U.S. Congress and then-President… Read More >>
CAT System Comes Under New Scrutiny
The Consolidated Audit Trail (CAT) had a controversial path on the way to becoming a key weapon of U.S. market regulators in their fight against the manipulation of financial markets and other abuses that leave an electronic trail. But it looks as if the CAT surveillance system might be on a challenging path again, as… Read More >>
Digital Assets Will Spur Ops & Compliance Overhauls
Securities firms participating in cryptocurrencies, tokenization, decentralized finance (DeFi) systems, and other digital asset realms will have to rely less on external regulatory guardrails and more on their own proactive efforts as the Trump administration charts a new course for the regulation of digital asset environments. The marching orders for this rapid reversal of Biden-era… Read More >>
SEC Publishes Data & Analysis on Key Groups
The Securities and Exchange Commission (SEC) is doing its part to offer more transparency into capital markets via its Division of Economic and Risk Analysis (DERA), which has published new data and analysis on public issuers, exempt offerings, commercial mortgage-backed securities (CMBS), asset-backed securities (ABS), money market funds, and security-based swap dealers (SBSD). DERA officials… Read More >>
The CFTC Takes a U-Turn on Digital Assets
Earlier this month, amid a flurry of executive orders, policy shifts, and layoffs of federal workers, the Commodity Futures Trading Commission (CFTC) charted a new course for its policies toward digital asset regulation. It is a dramatic change that puts the regulator in a new alignment with the Trump administration, the U.S. Department of Justice,… Read More >>
Joint Whistleblowers Share $6M from the SEC
Two whistleblowers were likely celebrating during the Spring holidays as they were awarded approximately $6 million by the Securities and Exchange Commission (SEC). They provided new information “that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in the covered action,” according to the SEC. The financial… Read More >>
Nasdaq Wants ‘Smart Reforms’ to Strengthen Public Companies
Private markets are becoming more appealing as public companies face greater burdens and an unpredictable regulatory environment. So say Nasdaq officials who want to change this situation by strengthening capital markets and recommending key public policy proposals to make that happen. The policy recommendations are featured in a paper, “Advancing the U.S. Public Markets: Unlocking… Read More >>
SEC & CFTC Prioritize Crypto Regs Creation
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) are following up on their recent announcements to move quickly on cryptocurrency regulation just as industry providers are getting on the crypto train. The SEC is offering more details about the mission of its special Crypto Task Force and the CFTC will be… Read More >>
