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SEC Publishes Data on Offerings, Advisors, Agents, Swap Dealers

The SEC's Division of Economic and Risk Analysis has published a report on security-based swap dealers and updated data visualizations for various market activities in 2025. The updates include statistics on IPOs, registered offerings, municipal advisors, and swap dealers, aiming to increase transparency for investors and issuers.

AMF Analysis of French Equity Market Participants (2019-2024)

The AMF has published an analysis of participants in the French equity market between 2019 and 2024. The report details changes in participant typology and investment behaviors, noting a stable overall structure despite shifts influenced by regulatory developments and Brexit.

IOSCO Updates Statement on Non-GAAP Financial Measures

IOSCO has published an updated Statement on Non-GAAP Financial Measures, revising its 2016 and 2002 statements. The update aims to help issuers provide clearer and more useful disclosures to investors, reducing the risk of misleading information.

IOSCO/BCBS Report on Margin Requirements for Non-Centrally Cleared Derivatives

IOSCO and BCBS have published a report assessing the implementation of margin requirements for non-centrally cleared derivatives. The report concludes the framework has been effectively implemented with no material issues identified, and no changes are proposed. Ongoing monitoring is recommended.

ASIC Launches Interactive Dashboard for Financial Complaints Data

The Australian Securities and Investments Commission (ASIC) has launched a new interactive dashboard providing unprecedented access to consumer complaints data. The dashboard allows users to compare complaints reported by individual financial firms, enhancing transparency and accountability within the financial services industry.

SEC Staff Guidance on Corporation Finance Interpretations

The SEC's Division of Corporation Finance has updated its landing page for Corporation Finance Interpretations (CFIs). These interpretations provide staff guidance on federal securities laws and are not binding rules. The division is actively refreshing and reorganizing these positions.

SEC Denies Reconsideration for Southeast Investments and Frank Harmon Black

The SEC denied a motion for reconsideration filed by Southeast Investments, N.C., Inc. and Frank Harmon Black regarding a prior disciplinary action by FINRA. The Commission found the motion failed to meet the standards for reconsideration, reiterating arguments previously made and not presenting new evidence.

Montana Securities Act Overview

The Montana Securities Division provides an overview of the Montana Securities Act, emphasizing its role in investor protection, capital formation, and promoting uniformity among states. The page highlights key statistics for broker-dealer firms, capital approved, and issuer filings in Montana.

Vermont Securities Regulations

The Vermont Department of Financial Regulation has updated its securities regulations. This revision pertains to Regulation S-2016-01, with a revised effective date of December 16, 2021.

Missouri Securities Administrative Orders

The Missouri Securities Division has updated its list of administrative orders. This includes rescinding an order related to investment adviser examination requirements and waiving examination requirements for certain broker-dealer agents and investment advisers. Several orders for payment from the Investor Restitution Fund are also listed.