# securities exchange (blogs) — RSS Amplifier Recent posts from the 5 feeds in the RSS Amplifier directory that cover securities exchange. Page: Feed: --- ## [SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor](https://www.sec.gov/newsroom/press-releases/2026-77-sec-charges-former-executives-fraud-connection-19-billion-collapse-subprime-auto-lender-tricolor) _2026-08-18 · Press Releases_ The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme… ## [SEC Proposes New Regulation Crypto Assets](https://www.sec.gov/newsroom/press-releases/2026-76-sec-proposes-new-regulation-crypto-assets) _2026-08-18 · Press Releases_ The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows… ## [SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam](https://www.sec.gov/newsroom/press-releases/2026-75-sec-charges-boiler-room-operator-three-entities-defrauding-retail-investors-74-million-pre-ipo) _2026-08-14 · Press Releases_ The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly… ## [Vacancy Notice: Chief Executive Officer](https://seczim.co.zw/vacancy-notice-chief-executive-officer-2/?utm_source=rss&utm_medium=rss&utm_campaign=vacancy-notice-chief-executive-officer-2) _2026-08-14 · SECZ · Securities and Exchange Commission of Zimbabwe_ Loading... Taking too long? Reload document | Open in new tab The post Vacancy Notice: Chief Executive Officer first appeared on Securities and Exchange Commission of Zimbabwe . ## [Can a Farm of Hardwood and Citrus Trees be a Security?](https://compliancebuilding.com/2026/08/14/can-a-farm-of-hardwood-and-citrus-trees-be-a-security/) _2026-08-14 · Doug Cornelius · Compliance Building_ Are you new here? The Howey case on the definition of security was about an orange farm in Florida. The Securities and Exchange Commission s case against TKO Farms and James Brian Blaylock caught my attention because of this mirror of the Howey case. I missed this case back in 2022 when the complaint was filed.... ## [Nhoro Asset Management](https://seczim.co.zw/nhoro-asset-management/?utm_source=rss&utm_medium=rss&utm_campaign=nhoro-asset-management) _2026-08-14 · SECZ · Securities and Exchange Commission of Zimbabwe_ ASSET MANAGER COLLECTIVE INVESTMENT SCHEME TRUSTEE Nhoro Asset Management Seatrite Five REIT Trust Kreston Trustees Services The post Nhoro Asset Management first appeared on Securities and Exchange Commission of Zimbabwe . ## [SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities](https://www.sec.gov/newsroom/press-releases/2026-74-sec-charges-toms-river-trio-connection-alleged-47-million-fraud-targeting-orthodox-jewish) _2026-08-13 · Press Releases_ The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish… ## [The Corporate Transparency Act is Finally Dead](https://compliancebuilding.com/2026/08/13/the-corporate-transparency-act-is-finally-dead/) _2026-08-13 · Doug Cornelius · Compliance Building_ The Treasury Department’s Financial Crimes Enforcement Network published a final rule that removes the requirement for U.S. companies and U.S. persons to report beneficial ownership information to FinCEN under the Corporate Transparency Act. Additionally, FinCEN will delete from its database information previously reported by US persons. This final rule makes the interim final rule, finally final.… ## [SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud](https://www.sec.gov/newsroom/press-releases/2026-73-sec-charges-private-fund-adviser-adit-ventures-management-its-ceo-affiliated-general-partners) _2026-08-10 · Press Releases_ The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the… ## [SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division](https://www.sec.gov/newsroom/press-releases/2026-72-sec-establishes-financial-reporting-accounting-unit-enforcement-division) _2026-08-05 · Press Releases_ The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well… ## [One Cloud, Every AI Layer (Sponsored)](https://crawlproof.com/a/3E3IdDE7CgOX) _2026-08-05 · **Sponsored**_ Run agents, inference, and infrastructure on one stack — economics improve as you scale. ## [SEC Announces Continuation of Small Business Advisory Committee Meeting](https://www.sec.gov/newsroom/press-releases/2026-71-sec-announces-continuation-small-business-advisory-committee-meeting) _2026-07-30 · Press Releases_ The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will… ## [Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy](https://www.sec.gov/newsroom/press-releases/2026-70-small-business-forums-report-congress-highlights-recommendations-improve-capital-raising-policy) _2026-07-27 · Press Releases_ The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… ## [The SEC 2026 Rulemaking Agenda](https://compliancebuilding.com/2026/07/24/the-sec-2026-rulemaking-agenda/) _2026-07-24 · Doug Cornelius · Compliance Building_ On July 7, the SEC released its latest regulatory flexibility agenda. Browsing through the agenda, its a clear sign of de-regulation of financial services. Of the 38 items on the agenda, I highlight some that are most applicable to private funds. Pay-to-Play Reform The SES is considering recommending that the Commission propose amendments to rule... ## [SEC Announces Roundtable on Preparations for 24-Hour Trading](https://www.sec.gov/newsroom/press-releases/2026-69-sec-announces-roundtable-preparations-24-hour-trading) _2026-07-23 · Press Releases_ The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency… ## [The Alignment Gap: Rethinking Costs in Private Equity Fund Formation](https://compliancebuilding.com/2026/07/23/the-alignment-gap-rethinking-costs-in-private-equity-fund-formation/) _2026-07-23 · Doug Cornelius · Compliance Building_ The Institutional Limited Partners Association issued new guidance on the longstanding practice of limited partners bearing the cost of fund formation legal expenses. What once made economic sense—requiring LPs to cover organizational expenses when the industry was nascent and GPs lacked sufficient capital—has become an outdated practice that now enables systematic cost-shifting by highly… ## [SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon](https://www.sec.gov/newsroom/press-releases/2026-68-sec-announces-departure-principal-deputy-director-enforcement-sam-waldon) _2026-07-22 · Press Releases_ The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy… ## [SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors](https://www.sec.gov/newsroom/press-releases/2026-67-sec-proposes-new-e-delivery-approach-make-information-more-readily-accessible-useful-investors) _2026-07-16 · Press Releases_ The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements… ## [SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors](https://www.sec.gov/newsroom/press-releases/2026-66-sec-office-municipal-securities-updates-faqs-registration-municipal-advisors) _2026-07-10 · Press Releases_ The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The… ## [SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets](https://www.sec.gov/newsroom/press-releases/2026-65-sec-host-virtual-roundtable-modernizing-ipos-expanding-access-public-markets) _2026-07-08 · Press Releases_ The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine… ## [SEC Small Business Advisory Committee to Explore Modernizing Market Access](https://www.sec.gov/newsroom/press-releases/2026-64-sec-small-business-advisory-committee-explore-modernizing-market-access) _2026-07-08 · Press Releases_ The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs… ## [Unlimited Mobile Internet, One V-SIM (Sponsored)](https://crawlproof.com/a/niw5HFemhc7c) _2026-07-08 · **Sponsored**_ Automatically switches across T-Mobile, AT&T and Verizon; no throttling, no contract. ## [SEC Forms New Retail Fraud Working Group](https://www.sec.gov/newsroom/press-releases/2026-63-sec-forms-new-retail-fraud-working-group) _2026-07-07 · Press Releases_ The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group… ## [SEC Names Paul Knight as Chief Operating Officer](https://www.sec.gov/newsroom/press-releases/2026-62-sec-names-paul-knight-chief-operating-officer) _2026-07-06 · Press Releases_ The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC's operational and administrative functions, including the agency's Office of… ## [SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised](https://www.sec.gov/newsroom/press-releases/2026-61-sec-publishes-updated-market-statistics-highlighting-increase-ipos-proceeds-raised) _2026-07-01 · Press Releases_ The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance data… ## [SEC Seeks Public Comment on Novel Exchange-Traded Funds](https://www.sec.gov/newsroom/press-releases/2026-60-sec-seeks-public-comment-novel-exchange-traded-funds) _2026-06-30 · Press Releases_ The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation… ## [SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks](https://www.sec.gov/newsroom/press-releases/2026-59-sec-cftc-seek-public-comment-harmonization-portfolio-margining-frameworks) _2026-06-26 · Press Releases_ The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,… ## [SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs](https://www.sec.gov/newsroom/press-releases/2026-58-sec-appoints-kathleen-hutchinson-director-office-international-affairs) _2026-06-24 · Press Releases_ The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the… ## [SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions](https://www.sec.gov/newsroom/press-releases/2026-57-sec-cftc-seek-public-comment-further-clarify-harmonize-derivatives-product-definitions) _2026-06-18 · Press Releases_ The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and… ## [SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets](https://www.sec.gov/newsroom/press-releases/2026-56-sec-cftc-seek-public-input-data-reporting-frameworks-security-based-swap-swap-markets) _2026-06-18 · Press Releases_ The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the… ## [🚀 If SpaceX is now public, why isn’t it in the S&P 500?](https://blog.startuptaxaccounting.com/post/819436389942935552) _2026-06-14 · Tax, Accounting and Startups_ The SpaceX IPO is dominating the headlines but beneath the $2 trillion valuation lies a fascinating... ## [SEC Appoints John Moses as Director of the Office of Investor Education and Assistance](https://www.sec.gov/newsroom/press-releases/2026-55-sec-appoints-john-moses-director-office-investor-education-assistance) _2026-06-12 · Press Releases_ The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment… ## [Watch Chovy Code Live (Sponsored)](https://crawlproof.com/a/TrQxc7x1qBwz) _2026-06-12 · **Sponsored**_ Join live coding streams with real-time collaborative screen sharing, open source and free. ## [SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)](https://www.sec.gov/newsroom/press-releases/2026-54-sec-proposes-rescission-regulation-nms-rules-611-610e) _2026-06-11 · Press Releases_ The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS.“After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than… ## [SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022](https://www.sec.gov/newsroom/press-releases/2026-53-sec-establishes-joint-data-standards-required-under-financial-data-transparency-act-2022) _2026-06-08 · Press Releases_ The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional… ## [SEC Announces New Members of Small Business Capital Formation Advisory Committee](https://www.sec.gov/newsroom/press-releases/2026-52-sec-announces-new-members-small-business-capital-formation-advisory-committee) _2026-06-04 · Press Releases_ The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current … ## [SEC Publishes Draft Strategic Plan for Public Comment](https://www.sec.gov/newsroom/press-releases/2026-51-sec-publishes-draft-strategic-plan-public-comment) _2026-06-02 · Press Releases_ The Securities and Exchange Commission today published a Draft Strategic Plan that focuses on returning the agency to the core mission set by Congress more than 90 years ago: protecting investors; maintaining fair, orderly, and efficient… ## [PERE 100 and SEC Registration](https://compliancebuilding.com/2026/06/01/pere-100-and-sec-registration/) _2026-06-01 · Doug Cornelius · Compliance Building_ I ve periodically taken a look at the Private Equity Real Estate s list of the top firms, based on fundraising. The 2026 edition was published today. I took a swing at the analysis again (with a little help). The 2026 PERE manager rankings are based on the amount of private real estate direct investment capital raised... ## [ISO Sales: How to Avoid Paying Tax Twice on the Same Income](https://blog.startuptaxaccounting.com/post/817644465073324032) _2026-05-26 · Tax, Accounting and Startups_ 🚨For anyone with employer stock options - The most common mistake on tax returns isn’t a... ## [Neither Admit Nor Deny To Be No Longer](https://compliancebuilding.com/2026/05/14/neither-admit-nor-deny-to-be-no-longer/) _2026-05-14 · Doug Cornelius · Compliance Building_ Since 1972, the Securities and Exchange Commission has generally allowed companies and individuals to settle civil enforcement investigations without admitting to the SEC’s allegations, provided that the settling party also does not deny them. See 17 CFR 202.5(e) . \[I\]t is important to avoid creating, or permitting to be created, an impression that a decree... ## [What Will Form PF Look Like Next Year?](https://compliancebuilding.com/2026/05/13/what-will-form-pf-look-like-next-year/) _2026-05-13 · Doug Cornelius · Compliance Building_ As private fund compliance officers shake off the work of the most recent Form PF, I decided to finally take a look at what the Securities and Exchange Commission and Commodity Futures Trading Commission are thinking about changing to Form PF. On April 20, the SEC and CFTC proposed amendments to Form PF and its... ## [Is It a Chipset or Is It a Security?](https://compliancebuilding.com/2026/05/11/is-it-a-chipset-or-is-it-a-security/) _2026-05-12 · Doug Cornelius · Compliance Building_ Compute power is all the rage with AI companies demanding more and more to run their extensive systems. How about investing directly in the chipsets? You could just buy shares in Nvidia. Aaron Verdugo and his wholly owned entities, Verdugo Enterprizes, LLC dba BDaaSWorx and BDaaS Inc. had another way for investors to get in... ## [When the Lawyer Is Breaking Bad](https://compliancebuilding.com/2026/05/08/when-the-lawyer-is-breaking-bad/) _2026-05-08 · Doug Cornelius · Compliance Building_ Ugh. Prosecutors filed charges against 30 people who allegedly participated in an insider trading scheme that involved several major corporate law firms. The defendants include corporate attorneys, who allegedly exploited confidential information from nearly 30 merger and acquisition deals. Charges were filed by the Department of Justice and the Securities and Exchange Commission. At the... ## [Will Investors Have an Appetite for Semi-Annual Reporting?](https://compliancebuilding.com/2026/05/06/will-investors-have-an-appetite-for-semi-annual-reporting/) _2026-05-06 · Doug Cornelius · Compliance Building_ The Securities and Exchange Commission issued a proposed rule and form amendments that would give public companies the option of filing semiannual reports instead of quarterly reports to meet their reporting obligations under the federal securities laws. For those in the private space, that generates a yawn. Private companies are likely to keep reporting quarterly... ## [Which equity award to tap for instant 💸 cash—your RSUs or stock options?](https://blog.startuptaxaccounting.com/post/814387273873375232) _2026-04-20 · Tax, Accounting and Startups_ If you have vested RSUs (already taxed via sell-to-cover, held \<1 year) and vested but... ## [Managing a Reverse Stock Split Alongside an SEC Filing (10-K or 10-Q) 📊](https://blog.startuptaxaccounting.com/post/814386837512716288) _2026-04-20 · Tax, Accounting and Startups_ In the middle of a reporting cycle, a reverse stock split can feel like a curve ball. Consolidating... ## [Testimony Before the U.S. Senate Committee on Banking, Housing, and Urban Affairs](https://www.sec.gov/newsroom/speeches-statements/atkins-testimony-sbhuac-021226) _2026-02-12 · Testimony_ ## [Testimony Before the U.S. House Financial Services Committee](https://www.sec.gov/newsroom/speeches-statements/atkins-testimony-hfsc-021126) _2026-02-11 · Testimony_ 11 February 2026 Chairman Paul S. Atkins ## [Understanding Key SEC Regulations](https://blog.startuptaxaccounting.com/post/789707686969294848) _2025-07-21 · Tax, Accounting and Startups_ Understanding Key SEC RegulationsThe table below provides a comprehensive comparison of the major... ## [DWAC 🆚 DRS Transfers](https://blog.startuptaxaccounting.com/post/787564582295257088) _2025-06-28 · Tax, Accounting and Startups_ 🏦DWAC (Deposit/Withdrawal at Custodian) and 💻DRS (Direct Registration System) are both electronic... ## [Testimony Before the United States Senate Appropriations Subcommittee on Financial Services and General Government](https://www.sec.gov/newsroom/speeches-statements/testimony-atkins-060325) _2025-06-03 · Testimony_ Testimony of Paul S. Atkins Chairman, United States Securities and Exchange Commission Before the United States Senate Appropriations Subcommittee on Financial Services and General Government June 3, 2025 ## [Testimony Before the United States House Appropriations Subcommittee on Financial Services and General Government](https://www.sec.gov/newsroom/speeches-statements/atkins-testimony-fsgg-052025) _2025-05-20 · Testimony_ Testimony of Paul S. Atkins Chairman, United States Securities and Exchange Commission Before the United States House Appropriations Subcommittee on Financial Services and General Government May 20, 2025 ## [Wall Street’s Quarterly Ritual- Earnings Calls 📊](https://blog.startuptaxaccounting.com/post/783819543447486464) _2025-05-17 · Tax, Accounting and Startups_ Behind every stock move 📈 and market headline lies Wall Street’s most powerful quarterly...