Regulation
SEC Enforcement Division Director Steps Down
Margaret Ryan is succeeded by Sam Waldon, who has returned to the role of acting director.
Tag: Securities and Exchange Commission
Newsmakers
Manager Who Stole Millions From Pension Clients Files for Congressional Run
Alan Bond was convicted in 2003 for stealing millions in kickback and cherry-picking schemes. Now he is running for a House seat as an independent in New Jersey. Bond says much has changed since then.
Regulation
Senate Committee Advances Digital Asset Market Structure Bill in Party-Line Vote
Democratic opposition appears likely to hold up the legislation as it moves forward.
Regulation
SEC Chair Atkins Argues to Reform Company Disclosure Requirements
The change would be one of three pillars on which the first-year chair intends to base attempts to deregulate financial markets.
Regulation
Investors, Pension Funds Blast SEC’s Green Light for Forced Arbitration
More than 60 institutional investors managing a combined $8 trillion wrote a letter strongly opposing the Securities and Exchange Commission’s position.
Regulation
SEC Changes Draw Mixed Reactions
While companies have gained flexibility, Oregon’s treasurer is worried about consequences and termed the Securities and Exchange Commission’s decisionmaking process ‘atrocious.’
Market Moves
Trump Calls for Semiannual Reporting Instead of Quarterly Schedules
The president, in a social media post, suggested that public companies should report every six months, similar to the process used in the EU and other jurisdictions.
Newsmakers
Margaret Ryan Named Director of SEC’s Enforcement Division
The Marine lawyer and U.S. Armed Forces Court of Appeals judge’s appointment is effective September 2.
Regulation
SEC Withdraws 14 Biden-Era Rulemaking Proposals
Commission says it does not intend to issue final rules on best execution, ESG, cybersecurity and other proposals.
Regulation
SEC Announces Director of Investment Management Will Step Down
Natasha Vij Greiner leaves the agency after 23 years, having served in her final role since March 2024.
Regulation
Lawmakers Ask SEC to Delist Chinese Stocks From US Exchanges
In a letter to the SEC, senators and representatives wrote that a ban would remove an ‘unacceptable risk’ and protect American markets, investors and security.
Regulation
SEC Announces Unit to Protect Investors From Crypto, AI Scams
The Cyber and Emerging Technologies Unit will be led by Laura D’Allaird, who was co-chief of the predecessor Crypto Assets and Cyber Unit.
Newsmakers
Sam Waldon Named Acting SEC Enforcement Head
Acting SEC Chair Mark Uyeda named the former acting deputy director as acting director of the division of enforcement.
Newsmakers
Academics Form ‘Shadow SEC’ Group to Facilitate Policy Discussions on Federal Securities Laws
The academic group will seek the “wisest possible federal securities laws and policies” and backed Trump’s pick for SEC chair.
Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.