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Securities and Exchange Commission

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

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Sep 15, 26Deal announcedPaul Atkins — coverage

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SEC approves FINRA rule letting broker-dealers market projected returns

The approval creates a conditional exception to Rule 2210's ban on performance projections, after NASAA said it could not support the change without stronger investor-protection guardrails.

practice · Oct 21SEC lets lone commissioner act when all other sitting members are disqualified

Data · Oct 20Boston Consulting Group ranks financial services among most AI-exposed sectors

policy · Oct 19Eric Pan to step down as Investment Company Institute president and CEO by mid-2027

regulation · Oct 18White House digital-asset council executive director Patrick Witt leaves, no successor named

regulation · Oct 15Patrick Witt leaves White House crypto policy office without a named successor

tokenization · Oct 14Perpetuals.com files to run tokenized US stock venue under SEC exemption

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

regulation · Oct 11Clarity Act's Senate failure hands crypto rulebook to SEC and CFTC

RIA · Oct 10Judge approves $713 million sale of 30 Inspired Healthcare Capital properties

funds · Oct 9Deloitte: 48% of fund groups refresh private credit daily using observable market inputs

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

practice · Oct 6SEC sets Nov. 19 virtual compliance seminar for advisers and funds

practice · Oct 6SEC exam division replaces its brochure with a stage-by-stage handbook

portfolio · Oct 6SEC proposes crypto custody framework for advisers and regulated funds

practice · Oct 6SEC proposes rescinding pay-to-play rule for advisers with government clients