Corporate Intelligence & Due Diligence
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizat...
SEC Seeks Public Comment on Novel Exchange-Traded Funds
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in i...
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on ...
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs...
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on ...
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on pote...
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance...
SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS.“After two decades o...
SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The fin...
SEC Announces New Members of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The...