Search

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/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.

Missouri Securities Enforcement Orders and News

The Missouri Secretary of State's Securities Division has updated its website to provide access to recent enforcement orders and news. This update aims to enhance investor protection by offering a centralized location for relevant information from the Enforcement Section.

Maine Securities Enforcement Actions and Administrative Orders

The Maine Office of Securities and Investment Regulation provides a list of its administrative orders and enforcement actions. This page serves as a central repository for these documents, including orders related to broker-dealer inspections and exemptions for private fund advisors.

New Mexico Securities Division Warns of Holiday Scams

The New Mexico Securities Division has issued a warning about sophisticated holiday scams targeting investors. The notice highlights emerging threats such as AI-driven impersonations, crypto fraud, and social media lures, drawing on data from the North American Securities Administrators Association's 2025 Enforcement Report.

Illinois Securities Administrative Actions Search Tool

The Illinois Securities Department has launched a new administrative actions search tool, currently under development. The tool allows users to search for actions from 2003 to the present, with additional years to be added. Contact information for the department is provided for further assistance.

Illinois Securities Department Administrative Actions Search

The Illinois Securities Department has launched a new online search tool for administrative actions, currently covering data from 2003 to the present. The tool is under development, with additional years to be added. Contact information is provided for obtaining documents not yet available online.

Illinois Securities Department Administrative Actions Search

The Illinois Securities Department has launched a new online search tool for administrative actions, currently covering data from 2003 to the present. The tool is under development, with additional years to be added. Contact information for obtaining further assistance or copies of documents is provided.