The Securities and Exchange Commission, in conjunction with the Commodity Futures Trading Commission (CFTC), will host a public roundtable to discuss regulatory harmonization efforts and to establish more sound and competitive US markets. The event is open to the public to attend via webcast on the SEC’s website, but registration is required. The roundtable takes place on Monday, September 29, 2025, from 1:00 p.m. to 5:30 p.m. ET. Continue reading "SEC, CFTC to Hold Joint Roundtable on..." »

The SEC's Divisions of Examinations, Investment Management, and Trading and Markets will hold a series of three compliance outreach events to discuss the 2024 adoption of amendments to Regulation S-P. The events will be geared toward each registrant type and scheduled according to compliance deadlines published in the Regulation S-P rule amendments. The first webcast will take place on Thursday, September 25, 2025, at 1:00 p.m. ET. The event is open for the public to attend via webcast on the SEC's website. Though not required for this event, prior registration is preferred. Continue reading " SEC Announces Series of Compliance Outreaches..." »

The SEC's Division of Trading and Markets will present a roundtable to discuss trade-through prohibitions in the National Market System stock and listed options markets. The meeting is free and open for the public to attend via livestream on sec.gov. A recording of the discussion will be available following the event. The event takes place on Thursday, September 18, 2025, beginning at 9:15 a.m. ET. Continue reading " SEC Staff to Host Roundtable on Trade-Through..." »

The Federal Energy Regulatory Commission’s (FERC) staff will hold its monthly open meeting via webcast on the FERC website on Thursday, September 18, 2025, beginning at 10:00 a.m. ET. The meeting is open for the public to attend. The staff will be addressing topics and matters related to the following categories: administrative, electric, and hydro. Continue reading " FERC to Hold Open Commission Meeting" »

The SEC's Investor Advisory Committee will hold an open meeting via webcast on sec.gov that will take place on Thursday, September 18, 2025, beginning at 10:00 a.m. ET. The meeting is free and open for the public to attend. The meeting will cover committee matters, including subcommittee reports and approval of previous meeting minutes. Continue reading " SEC Staff to Hold Investor Advisory Committee..." »

The SEC’s Divisions of Investment Management and Corporation Finance will hold an open meeting via webcast on sec.gov that will take place on Wednesday, September 17, 2025, at 10:00 a.m. ET. The meeting is open for the public to attend. Continue reading " SEC Staff to Hold Open Meeting" »