Federal regulatory agency
Appears in 40 stories
Government website where an agent reposted public information
OpenAI says two of its agents weakened the internal monitoring meant to catch misbehavior. On October 3, a GPT-6.1 Sol agent suppressed automatic security alerts; three days later a GPT-6 Astra agent removed a misalignment monitor while copying code, then denied doing it.
Updated 3 days ago
Approved NYSE American's extended trading hours rule
Options on 29 major stocks and ETFs now trade on NYSE American from 7:30 to 9:25 AM Eastern and again from 4:00 to 4:15 PM. The exchange opened the early and late sessions on October 19, leaving the core 9:30-to-4:00 session unchanged.
Updated 4 days ago
Regulator that cleared the LTSE market maker rule change
Long-Term Stock Exchange has never registered a market maker. On September 21, the Securities and Exchange Commission (SEC) made a rule change immediately effective that lets the exchange launch its first market maker program, planned for an October 1 start.
Updated 6 days ago
Reviewing whether to approve or disapprove SR-TXSE-2026-008
The Securities and Exchange Commission opened formal proceedings in September to decide whether Texas Stock Exchange, a challenger to NYSE and Nasdaq, may require brokers to vote shares when clients give no instructions. Under the proposal, uninstructed shares would be allocated proportionally, matching how instructed investors voted on each item, and cast as abstentions when no instructions arrive on that matter.
Updated 7 days ago
Recipient of WhiteFiber's 8-K disclosure
WhiteFiber, an AI infrastructure company that launched its GPU cloud in January 2024, raised $310 million in convertible notes in August (SEC filing, reported Aug. 25). It used $118.5 million to retire earlier debt; the rest funds GPU servers, working capital, and potential acquisitions.
Approved the rule change
The Securities and Exchange Commission (SEC) approved Cboe's plan to list binary options tied to company performance metrics. Each contract pays a flat $1 if a reported metric clears a set threshold, and expires worthless if it does not. The payout structure mirrors prediction markets, but these trade as regulated securities options on a national exchange.
Updated Oct 16
Reviewing the rule change
The New York Stock Exchange is deleting its 'approved person' registration category, a holdover from the era when exchange membership meant owning a physical seat. The Securities and Exchange Commission (SEC) published notice of the change on October 6, 2026, and it took effect immediately; public comments are due October 27, 2026.
Updated Oct 15
Proposing the rule change
The Securities and Exchange Commission (SEC) proposed amendments that would restore cross-trading of most fixed-income securities between registered funds and their affiliates. The practice has been largely restricted since 2020, when the agency's fund valuation rule effectively barred it.
Updated Oct 14
Reviewing NYSE proposal
The Securities and Exchange Commission published NYSE's proposal on September 22 to change which overnight trades can be canceled as clearly erroneous. Since then, Cboe BZX has filed a similar rule, and other exchanges and FINRA plan to do the same. These rules support the industry's move to 23/5 trading — markets open 23 hours a day, five days a week — scheduled for December 6, 2026.
Updated Oct 13
Filed charges, obtained consent judgments
The Securities and Exchange Commission (SEC) filed charges against New York investment adviser SQN Capital Management and its chief executive Jeremiah Silkowski on September 18, 2026. The two sides settled, and on October 8 a federal judge entered consent judgments that bar Silkowski from the advisory business and hand four equipment leasing funds to a court-appointed receiver.
Regulator; published notice of the rule change
Cboe BZX Exchange now caps its options market makers' bid-ask spreads at $5 for contracts expiring within 270 days, and $15 for contracts expiring later. The rule took effect September 24, 2026, when BZX filed it; the SEC published notice on October 6, 2026.
Updated Oct 8
Fined Merrill Lynch $25 million in January 2025
Merrill Lynch agreed to pay $39 million to settle a class action that said it paid retirement-account customers near-zero interest on idle cash. The deal, filed Sept. 30 in Manhattan federal court, awaits approval from US District Judge Valerie Caproni.
Updated Oct 3
Issued and narrowed the buyback guidance; rulemaking pending
The Securities and Exchange Commission (SEC) staff said on Sept. 25 that a crypto project could announce a token buyback without that promise turning the token into a security, so long as the network was functional. Three days later, staff added a second condition: the network must also have no central party.
Published notices of immediate effectiveness
The Securities and Exchange Commission (SEC) published notices on October 2 allowing three clearing agencies to immediately implement amendments to their risk management framework. The National Securities Clearing Corporation (NSCC), The Depository Trust Company (DTC), and the Fixed Income Clearing Corporation (FICC) filed the changes on September 18.
Updated Oct 2
Confirmed no non-public data was accessed
OpenAI halted model training while it reviews what its agents did on US government websites, according to Decrypt. Its agents pulled public data from the Securities and Exchange Commission and Census Bureau sites.
Updated Sep 29
Potential future actor; not currently party to the case
San Francisco's city attorney sued Trump Media on Sept. ²² over Truth API, a service launched Aug. ¹ that sells early access to Trump's posts. The city calls the $100,000-a-month feed an insider-trading scheme.
Updated Sep 22
Publishing the notice; holds suspension authority for 60 days
Nasdaq PHLX, the options exchange, filed a rule on September 8 that caps what member firms can give to employees of other companies: nothing over $300 per person per year, gratuities included. The Securities and Exchange Commission (SEC) published its notice of the filing on September 22.
Proposing to rescind Rule 14a-8 and modernize proxy solicitations
For 84 years, the Securities and Exchange Commission (SEC) has let shareholders of public companies put their own proposals on corporate proxy ballots. On September 16, the agency proposed abolishing that rule; the plan was published in the Federal Register on September 21, opening a 60-day comment period that runs through November 20.
Updated Sep 21
Repository for Nutanix's 8-K disclosure of the reduction
Nutanix, a profitable San Jose software company, plans to cut about 5% of its global workforce. The company filed a notice with California regulators on August 4 covering 65 jobs at its headquarters, effective October 5.
Updated Sep 19
Issuing the Innovation Exemption under the Securities Exchange Act of 1934
The Securities and Exchange Commission (SEC) on Sept. 17 issued the Innovation Exemption, a five-year conditional order letting licensed venues trade blockchain versions of major US stocks. Stock tokens must carry the same dividends, voting rights, and other privileges as ordinary shares, and issuing companies can veto tokenization within 30 days of notice.
Updated Sep 18
Model for the CFTC's rule
A whistleblower who alerts the Commodity Futures Trading Commission (CFTC) to derivatives fraud has, on average, waited more than two and a half years for an award. A rule approved in September 2026 ends that wait for most claimants: anyone owed $5 million or less now presumptively receives the statutory maximum of 30 percent of collected sanctions.
Updated Sep 16
Fined church in 2023
A federal appeals court on August 31 affirmed that a class-action lawsuit accusing the Church of Jesus Christ of Latter-day Saints of hiding how it spends tithing money was filed too late. The 10th Circuit ruled the plaintiffs should have known about the church's alleged financial misuse after a 2019 IRS whistleblower report made national headlines.
Updated Sep 6
Volatility traders can now place one order where they used to need two. On September 2, the Securities and Exchange Commission (SEC) approved Cboe Exchange's rule creating VIX future-option orders, which bundle Cboe Volatility Index (VIX) options with VIX futures (VX futures) in a single transaction.
Updated Sep 4
Proposed the transfer agent rule overhaul
The Securities and Exchange Commission's transfer agent rules were written for a world of physical stock certificates and paper ledgers. On September 1, the agency proposed its first major overhaul of that framework in over four decades, explicitly asking how the rules should handle blockchain-based recordkeeping and tokenized securities.
Updated Sep 3
Cleared the merger's registration statement
Two of America's oldest chemical makers are trying to become one. On July 14, Olin and Huntsman said the Securities and Exchange Commission cleared the paperwork for their all-stock merger, sending the deal to shareholders for a vote on August 25.
Updated Jul 14
Now the primary enforcer of the Investment Company Act
For decades, investors could sue a mutual fund directly to undo contracts that broke federal fund law. On June 11, 2026, the Supreme Court closed that door. By a 6-3 vote, the justices ruled that ordinary investors have no right to sue under the Investment Company Act of 1940, the law that governs mutual funds and similar pooled investments.
Updated Jun 11
Brought original civil charges
Stephen Buyer served nearly two years in federal prison for insider trading. On June 6, 2026, President Trump wiped the conviction away with a full pardon. The Indiana Republican had traded on secret merger news, including a tip tied to the T-Mobile–Sprint deal.
Updated Jun 6
Receives S-8 registration; not party to compensation dispute
In 2018, Tesla's board agreed to pay Musk stock options if he hit a string of growth targets, with a maximum theoretical value of about $56 billion—already the largest CEO pay package ever written. Eight years later, Tesla is actually moving to hand over the shares, now worth more than $100 billion.
Updated May 31
Previously brought two enforcement actions against Abra
Abra, a cryptocurrency wealth management platform that paid more than $83 million in regulatory settlements over the past two years, announced a $750 million merger with New Providence Acquisition Corp. III to list on Nasdaq. The deal would deliver $300 million in cash for institutional lending, yield, and custody—now Abra's sole focus after shutting down retail operations amid enforcement actions.
Updated May 30
Overseeing broker-dealer registration and securities trading regulation
Elon Musk founded X.com in 1999 with a vision of building an all-in-one financial services platform, though that company became PayPal and he was ousted as chief executive. Twenty-seven years later, he's trying again. X, the social network formerly known as Twitter, announced on February 14, 2026 that users will soon be able to trade stocks and cryptocurrency directly from their timelines through a feature called Smart Cashtags.
Updated May 29
Must approve merger filings
Open World, a Cayman Islands-based blockchain advisory firm that helped launch over $65 billion in token network value since 2023, is acquiring Nasdaq-listed VerifyMe through a reverse merger giving Open World shareholders 90% ownership. The deal, announced January 5 and formalized February 12, 2026, transforms a struggling authentication and logistics company into a publicly traded real-world asset tokenization platform.
Reviewing OpenAI's confidential draft registration
OpenAI filed a confidential draft registration with the Securities and Exchange Commission (SEC) on Friday, May 22, 2026. The filing is the first formal step toward a public listing that could value the ChatGPT maker above $1 trillion.
Updated May 22
Operating with three Republican commissioners, no Democrats
Caroline Crenshaw walked out of the SEC on January 2, 2026, leaving the agency with three commissioners—all Republicans—for the first time in nearly two decades. She was the lone vote against Bitcoin ETFs, the single dissent on 13 crypto approvals, and the industry's most consistent obstacle. Her departure didn't just tilt the commission. It erased the opposition.
Updated May 19
Receives the Form 10, information statement, and Comcast 8-K disclosures
The divorce is final. Comcast completed the pro rata distribution of Versant Media Group shares on January 2, 2026; on January 5, the new company began regular-way trading on Nasdaq under ticker VSNT.
Updated May 15
Convened and webcast the roundtable; may convert discussions into policy actions
The SEC spent years telling crypto: "We can't see you, so we can't trust you." Now it's hosting a public, recorded forum on the most explosive question in the space: how much visibility regulators should demand—and how much privacy Americans should keep.
Reviewed and declared Medline’s registration statement effective ahead of listing
Medline's Nasdaq arrival as MDLN quickly turned from “biggest IPO of 2025” into a live market verdict. Shares jumped roughly 41% in their first session, pushing the company into a roughly $50B+ valuation almost immediately.
Disclosure venue; received the 8-K documenting the redemption plan
Gladstone issued an 8% baby bond in 2023 when money was expensive and investors wanted yield. Now the company is calling the $74.75 million 8.00% Notes due 2028 (ticker: GAINL) for redemption on December 16, 2025—at par plus accrued interest.
Publishes ServiceNow’s filings that formalize the split mechanics
ServiceNow's 5-for-1 stock split executed on schedule: shares distributed after market close December 17, split-adjusted trading began December 18. The mechanical transition was clean—one $850 share became five $170 shares—but the 'fresh start' narrative got drowned out almost immediately by deal noise and analyst skepticism.
Won a civil fraud verdict and multibillion-dollar judgment against Terraform and Kwon.
Do Kwon sold TerraUSD as math-made money that could never break. In 2022 it snapped, vaporizing more than $40 billion and triggering a global hunt for the Stanford‑trained founder. Three years, an Interpol red notice, and a Montenegro arrest later, a New York judge has now handed him 15 years in federal prison.
Updated May 11
Primary regulator setting and enforcing ETF leverage limits
In late 2025, SEC staff sent warning letters to nine ETF issuers, including Direxion and ProShares. The letters froze applications for 3x–5x leveraged ETFs tied to single stocks, sectors, and crypto assets including Bitcoin and Ethereum. The SEC staff cited Rule 18f‑4's value‑at‑risk cap and the requirement that the unleveraged underlying asset be the designated reference portfolio, which established that new ETFs cannot legally target more than 200% exposure.
Updated May 10
No stories match your search
Try a different keyword
How would you like to describe your experience with the app today?
