SEC Updates Small Entity Definitions for Investment Companies and Advisers
The SEC has adopted amendments redefining small entities for investment companies and advisers, significantly raising asset thresholds.
SEC grants Treasury clearing relief for certain repo transactions
The SEC issued exemptive relief for certain inter-affiliate and non-U.S. repo transactions as it advances Treasury central clearing implementation.
SEC charges two Colorado entities in $130 million fraud scheme
The SEC said BG Wealth Sharing Ltd. and DSJ Exchange Pty Ltd used false filings to bolster confidence in a fraud scheme tied to cryptocurrency trading.
Circle urges SEC to align crypto rules with GENIUS Act
Circle urged the SEC to align its proposed Regulation Crypto Assets with the GENIUS Act and clarify treatment for payment stablecoins.
Anthropic files S-1 for proposed IPO on Nasdaq
Anthropic filed an S-1 with the SEC for a proposed IPO and said it plans to list Class A shares on Nasdaq under the symbol ANT.
SEC says it has set FY 2027 exam priorities, but report not verified
The SEC announced FY 2027 examination priorities, though a verified priorities report could not be located in SEC publications as of Oct. 23, 2026.
SEC and AMF announce supervisory MOU on investment firms
The SEC and France's AMF said they entered a supervisory memorandum of understanding to support consultation and information-sharing on cross-border oversight.
SEC, Japan FSA hold autumn regulatory dialogue in Tokyo
The SEC and Japan’s FSA met in Tokyo on Oct. 19, 2026, continuing a long-running cross-border regulatory dialogue on market oversight.
SEC schedules November roundtable on machine-understandable data
The SEC said it will hold a November 9 roundtable on machine-understandable data and Super Intelligence, with risks and compliance costs in focus.
SEC committee sets October 27 meeting on IPO modernization, crowdfunding
The SEC’s Small Business Capital Formation Advisory Committee will meet October 27 to continue IPO modernization talks and discuss crowdfunding policy.