News & Events

On February 24, 2026, the SEC’s Division of Enforcement announced significant updates to its Enforcement Manual—the first major revision since 2017—framed as a push for fairness, transparency, consistency, and efficiency in investigations. Here’s the SEC press release For public companies, regulated firms, and executives, the practical takeaway is straightforward: the SEC is standardizing key process […]

On February 27, 2026, the SEC adopted final rules implementing the Holding Foreign Insiders Accountable Act (HFIAA)—a change that brings foreign private issuer (FPI) insiders closer to the U.S. insider-reporting framework investors are already used to seeing for domestic issuers. If you’re an FPI with a class of equity securities registered under Exchange Act Section

On January 30, 2026, the U.S. Securities and Exchange Commission (SEC) announced a new leadership slate for the Public Company Accounting Oversight Board (PCAOB)—the audit regulator created by the Sarbanes-Oxley Act of 2002. Per the SEC’s press release, Demetrios (Jim) Logothetis was appointed Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton were appointed as

On January 8, 2026, the SEC announced that its Office of the Advocate for Small Business Capital Formation published and delivered to Congress its 2025 Staff Report on Capital-Raising Dynamics—positioned as a “comprehensive and data-rich resource” on how capital is being raised across the U.S. small business ecosystem. For founders, CEOs, CFOs, and boards, this

On January 7, 2026, DTCC announced it received SEC approval to launch a new Agent Clearing (ACS) Triparty Service within FICC’s existing Agent Clearing Service—delivered using BNY’s Global Collateral platform. Here’s a link to the Press Release While it may read like “plumbing news,” this is a meaningful market-structure milestone: it expands pathways to centrally

On December 10, 2025, the U.S. Securities and Exchange Commission (SEC) announced charges against Canadian citizen Nathan Gauvin and three entities he allegedly controlled—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—for orchestrating two allegedly fraudulent securities offerings that raised more than $18 million from investors in the U.S. and abroad.

On April 21, 2025, FINRA announced the launch of FINRA Forward—a set of initiatives aimed at improving FINRA’s effectiveness and efficiency as a self-regulatory organization, while supporting member firms, markets, and investor protection. Here’s the press release FINRA positioned FINRA Forward as a “continuous improvement” effort—modernizing its rulebook, enhancing how it supports compliance, and expanding