Financial Regulatory Updates SEC Drops Hammer on International Fraud Ring: 38 Entities Charged in Sophisticated "Exempt Reporting Adviser" Phishing and Impostor Scheme September 28, 2026 Ammar Sabilarrohman WASHINGTON D.C. — In a sweeping enforcement action that underscores the growing intersection of cross-border cybercrime and traditional financial markets, the U.S. Securities and Exchange Commission (SEC) announced charges against…
Financial Regulatory Updates SEC Proposes Rule Amendments to Grant "Exempted Security" Status to European Union Debt Obligations in Landmark Regulatory Harmonization September 28, 2026 rifanmuazin WASHINGTON, D.C. — In a significant regulatory step aimed at streamlining transatlantic financial markets and eliminating historical loopholes, the U.S. Securities and Exchange Commission (SEC) announced proposed amendments to Rule…
Financial Regulatory Updates SEC and FDA Forge Landmark Regulatory Partnership to Tighten Oversight of Life Sciences and Public Markets September 28, 2026 Nana Wu WASHINGTON, D.C. — In a sweeping move designed to bridge the regulatory gap between public finance and public health, the Securities and Exchange Commission (SEC) and the Food and Drug…
Financial Regulatory Updates SEC Proposes First Major Overhaul of Transfer Agent Rules Since the 1980s, Integrating Blockchain and Digital Recordkeeping September 28, 2026 Pevita Pearce WASHINGTON, D.C. — In a sweeping regulatory move designed to bring Wall Street’s vital plumbing into the 21st century, the Securities and Exchange Commission (SEC) announced a comprehensive proposal today…
Financial Regulatory Updates SEC and Federal Prosecutors Crack Down on $80 Million California Real Estate Ponzi Scheme Targeting Retirees September 27, 2026 Asep Darmawan WASHINGTON, D.C. — In a sweeping enforcement action that lays bare the vulnerabilities of senior investors seeking fixed-income security, federal regulators have filed civil fraud charges against two top executives…
Financial Regulatory Updates SEC Sets Agenda for Landmark Roundtable on the Shift to 24-Hour Trading in U.S. Markets September 27, 2026 Neng Nana WASHINGTON, D.C. — In a pivotal move reflecting the rapidly evolving architecture of modern finance, the Securities and Exchange Commission (SEC) released the comprehensive agenda and official panelist roster for…
Financial Regulatory Updates SEC Investor Advisory Committee to Tackle Artificial Intelligence in Public Markets and Reg NMS Reform in Upcoming Washington Summit September 27, 2026 Raul Delapena Setiawan WASHINGTON, D.C. — As artificial intelligence continues to reshape the fundamental architecture of global finance, the Securities and Exchange Commission’s (SEC) Investor Advisory Committee is preparing to step directly into…
Financial Regulatory Updates SEC Moves to Rescind Decades-Old ‘Pay-to-Play’ Rule for Investment Advisers, Citing Overreach and Free Speech Concerns September 27, 2026 Raul Delapena Setiawan WASHINGTON D.C. — In a regulatory shift with sweeping implications for Wall Street, the political landscape, and the financial advisory industry, the U.S. Securities and Exchange Commission (SEC) issued a…
Financial Regulatory Updates SEC Charges New Jersey Man in $16 Million Ponzi Scheme Targeting Ghanaian-American Christian Communities September 26, 2026 Nana WASHINGTON, D.C. — In a sweeping regulatory enforcement action that highlights the ongoing vulnerability of faith-based and immigrant communities to sophisticated financial fraud, the Securities and Exchange Commission (SEC) announced…
Financial Regulatory Updates Transatlantic Regulators Stress-Test Financial Stability: U.S. and British Authorities Convene for High-Level Central Counterparty Resolution Exercise September 26, 2026 Dwi Wanna WASHINGTON, D.C. — In an era marked by heightened macroeconomic volatility, rapid technological integration, and interconnected global financial markets, top-tier financial regulators from the United States and the United Kingdom…
