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  • Japan Financial Services Agency: "Cold Calling" - Investors Alert

    Date 09/01/2026

    "Cold-calling"

    "Cold-calling" is a fraudulent practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. 

  • (Re)Empowering Fiduciaries In Proxy Voting, Brian Daly, Director, SEC Division Of Investment Management, New York City Bar Association, New York, N.Y., Jan. 8, 2026

    Date 08/01/2026

    Good afternoon.

    Thank you, Vadim [Avdeychik] for that kind introduction.

    Before I begin, I must – as always - inform you that my remarks today are provided in my official capacity as the Securities and Exchange Commission’s Director of the Division of Investment Management, but do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff.

  • SEC Publishes Staff Report On Capital-Raising Dynamics

    Date 08/01/2026

    The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics nationwide.

  • Nasdaq Reports December 2025 Volumes And 4Q25 Statistics

    Date 08/01/2026

    Nasdaq (Nasdaq: NDAQ) today reported monthly volumes for December 2025, as well as quarterly volumes, estimated revenue capture, number of listings, and index statistics for the quarter ended December 31, 2025, on its Investor Relations website.

  • CFTC Staff Issues No-Action Letter Regarding Event Contracts

    Date 08/01/2026

    The Commodity Futures Trading Commission’s Division of Market Oversight and the Division of Clearing and Risk today announced they have taken a no-action position regarding swap data reporting and recordkeeping regulations for certain binary and bounded swap contracts in response to a request from Bitnomial Exchange, LLC, a designated contract market, and Bitnomial Clearinghouse, LLC, a registered derivatives clearing organization.