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SEC

In network coverage since October 6, 2026 · 16+ stories

1Deals on our tracker

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Oct 1, 26Fund launchCboe BZX · Volatility Shares — coverage

Network coverage

advisor_note

Beacon Pointe to buy $1B WorthPointe without founder Van Slyke

Terms were not disclosed, and the Austin and Tyler offices become new Beacon Pointe locations.

the_wrap · Oct 22Vault12 says SEC token safe harbor keeps VGT off exchanges

practice · Oct 21Kevin Harnisch: SEC off-channel focus moving from sweeps to exams; Finra still scrutinizes

distribution · Oct 16SEC approves FINRA Rule 2210 change letting broker-dealers cite projected returns

adoption · Oct 15CoinDesk newsletter: CLARITY Act failed 49-50 as crypto firms build state-by-state compliance

the_wrap · Oct 15Perpetuals.com files with SEC to run tokenized US stock venue

regulation · Oct 15SEC clears listing rule for six 3x Volatility Shares products

regulation · Oct 13Nasdaq and NYSE file ETP trading-halt rule changes effective on filing

the_wrap · Oct 12CFTC interim swap-definition rule takes effect immediately; event contracts face 30-day comment

liquidity · Oct 9SEC cross-trading proposal restores Level 2 fixed income, excludes Level 3 assets

portfolio · Oct 9SEC proposes expanding cross trading by registered funds

regulation · Oct 9SEC proposes expanding cross trading by registered funds to most fixed-income securities

practice · Oct 7SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty

M&A · Oct 6Alto to buy Forge Trust from Schwab, pooling $20 billion in retirement assets

practice · Oct 6SEC and five other regulators warn on impersonation and relationship investment scams

move · Oct 6Fidelity tells sub-$100M custody clients to move as Schwab stops short of a promise

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