Regulatory Updates Archive

Every Change.
One Place.

All SEC, FINRA, and NAIC regulatory actions detected by RegAxis — searchable, filterable, and indexed for reference.

Date	Agency	Update	Impact
Aug 8, 2026	SEC	SEC Announces Continuation of Small Business Advisory Committee Meeting Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Aug 8, 2026	SEC	SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division Affects: Regulated entities — High impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Seeks Public Comment on Novel Exchange-Traded Funds Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Names Paul Knight as Chief Operating Officer Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Forms New Retail Fraud Working Group Affects: Regulated entities — High impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Small Business Advisory Committee to Explore Modernizing Market Access Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors Affects: RIAs and investment advisers — Moderate impact for regulated advisers.	LOW
Jul 30, 2026	SEC	SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon Affects: Regulated entities — High impact for regulated entities.	LOW
Jul 30, 2026	SEC	SEC Announces Roundtable on Preparations for 24-Hour Trading Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 30, 2026	SEC	Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 15, 2026	SEC	SEC Announces New Members of Small Business Capital Formation Advisory Committee Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jul 15, 2026	SEC	SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022 Affects: Regulated entities — Moderate impact for regulated entities.	HIGH
Jul 15, 2026	SEC	SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e) Affects: Regulated entities — Moderate impact for regulated entities.	MEDIUM
Jul 15, 2026	SEC	SEC Appoints John Moses as Director of the Office of Investor Education and Assistance Affects: Regulated entities — Moderate impact for regulated entities.	LOW
Jun 27, 2026	SEC	SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions Affects: SEC-registered investment advisers, broker-dealers, and other regulated entities subject to SEC enforcement act…	HIGH
Jun 27, 2026	SEC	SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements Affects: Public companies conducting registered offerings with the SEC, as the proposed amendments directly impact how t…	MEDIUM
Jun 27, 2026	SEC	SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination Affects: Registered Investment Advisers (RIAs) and broker-dealers operating in overlapping securities and futures market…	LOW
Jun 27, 2026	SEC	SEC Investor Advisory Committee to Host June 4 Meeting Affects: RIAs and broker-dealers, as the SEC Investor Advisory Committee meeting will address private markets and passiv…	LOW
Jun 27, 2026	SEC	SEC Proposes Rescission of Climate-Related Disclosure Rules Affects: Public companies, including those overseen by broker-dealers and RIAs, that are required to include climate-rel…	LOW
Jun 27, 2026	SEC	SEC Announces Four New Members of Investor Advisory Committee Affects: This announcement primarily affects RIAs and registered investment advisers, as the SEC's Investor Advisory Com…	LOW
Jun 27, 2026	SEC	SEC Publishes Draft Strategic Plan for Public Comment Affects: This SEC Draft Strategic Plan primarily affects Registered Investment Advisers (RIAs) and broker-dealers, as bo…	LOW
Jun 25, 2026	SEC	SEC Charges 21 Individuals With Alleged Wide-Reaching Insider Trading Scheme Affects: Broker-dealers, RIAs, and investment advisers who must ensure strict information barriers and compliance contro…	LOW
Jun 24, 2026	SEC	SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses Affects: Registered investment advisers (RIAs) and broker-dealers who advise or facilitate pooled employer plans (PEPs) …	MEDIUM
Jun 17, 2026	SEC	Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC Affects: This announcement primarily affects broker-dealers, RIAs, and other SEC-regulated entities that may experience …	LOW
Jun 17, 2026	SEC	SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies Affects: This regulatory announcement primarily affects public companies and their reporting obligations, with indirect …	MEDIUM
Jun 2, 2026	SEC	SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market Affects: Broker-dealers and their customers engaged in U.S. Treasury securities clearing and futures trading activities.	MEDIUM
Jun 2, 2026	SEC	SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources Affects: Broker-dealers and registered investment advisers who participate in securities trading and are subject to SEC …	LOW
Jun 2, 2026	SEC	SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs Affects: This regulatory announcement primarily affects broker-dealers and investment banks involved in underwriting and…	LOW
Jun 2, 2026	SEC	Chairman Atkins Launches 'Material Matters' Podcast Affects: This podcast announcement broadly affects all SEC-regulated entities including RIAs, broker-dealers, and invest…	LOW
Jun 2, 2026	SEC	SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens Affects: RIAs and investment advisers managing private funds, as the proposed SEC and CFTC amendments directly impact th…	MEDIUM
Jun 1, 2026	SEC	SEC Appoints David Woodcock as Director of the Division of Enforcement Affects: Regulated entities — High impact for regulated entities.	LOW

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