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The SEC's Divisions of Investment Management and Corporation Finance have released staff guidance. This guidance aims to clarify how federal securities laws apply to pooled employer plans (PEPs). PEPs are designed to assist small businesses with retirement plans.
The Securities and Exchange Commission (SEC) has proposed new rule and form amendments. These amendments would allow public companies to choose to file semiannual reports instead of quarterly reports. This change aims to modify interim reporting obligations under federal securities laws.
The SEC and CFTC have jointly proposed changes to reduce the reporting burden for private funds. These amendments aim to streamline reporting while ensuring essential information collection continues. This initiative is designed to benefit private funds by simplifying their compliance requirements.
The SEC's Small Business Capital Formation Advisory Committee will hold a meeting to discuss ways to encourage more companies to go public. The meeting is scheduled for April 28, 2026, at 10:00 a.m. and will be open to the public.
The Securities and Exchange Commission (SEC) has announced a request for public comment regarding a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails. This initiative aims to gather public input on data sources currently utilized in market regulation. The SEC is seeking to enhance its understanding and effectiveness of these critical systems.
The SEC has issued a conditional exemptive order and proposed a rule change to allow customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury securities. This move aims to enhance efficiency within the U.S. Treasury market. The proposal seeks to streamline margin requirements for certain market participants.
FXTM has announced a strategic expansion into the Middle East and Asia. This includes an upgrade to its license category under the UAE CMA and a new strategic partnership in Indonesia.
FXTM is reportedly giving up its FCA license and focusing its efforts on the UAE market. This move suggests a strategic shift in the company's regulatory and operational focus. The brokerage will likely concentrate its resources on growth within the UAE.
Trading 212 has received approval to offer personal pensions, fulfilling a long-standing promise to its customers. This development means the company can now expand its product offerings to include retirement savings options. The approval marks a significant step for Trading 212 in diversifying its financial services.
MetaQuotes, a software provider, has started to restrict brokers that are licensed in Comoros. This action by MetaQuotes impacts firms operating under a Comoros license. The news comes from a report by Bitget.
XM has successfully obtained a CMA license, which will allow the company to operate under stronger regulatory oversight in Kenya. This move signifies XM's commitment to expanding its presence and adherence to local financial regulations in the Kenyan market. The new license is expected to enhance their regulatory footprint in the region.
Trading 212 has reportedly sold crypto ETNs to UK retail investors without the necessary authorization from the Financial Conduct Authority (FCA). This action raises concerns regarding regulatory compliance and investor protection in the UK market. The details were brought to light by the Financial Times and reported by Finextra Research.
