InfoBytes

Archive: Securities

• SEC proposes rule allowing electronic delivery of disclosures by default

  July 24, 2026

• SEC’s Peirce cautions that crypto vaults, onchain lending may trigger securities laws

  July 24, 2026

• Democratic lawmakers press SEC on broker-dealer and AI developer responsibilities in agentic trading

  July 10, 2026

• SEC and CFTC seek comment on harmonizing portfolio margining frameworks

  July 10, 2026

• FINRA expels member firm and bars co-founders for alleged churning and excessive trading in violation of Reg BI and FINRA rules

  June 26, 2026

• SEC Division of Examinations issues risk alert to investment advisers on conflicts of interest and fee disclosures

  June 26, 2026

• SEC, CFTC seek input on clarifying regulatory lines for event contracts and other innovative derivatives products

  June 26, 2026

• SEC, CFTC seek public input on harmonizing swap and security-based swap data reporting frameworks

  June 26, 2026

• SEC proposes rescission of Regulation NMS trade-through and locked/crossed market rules

  June 18, 2026

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