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Cards Wire 3 segments
0:15
SEC SEC Press Releases Source document ↗
United States SEC Press Releases Governance & Accountability ✓ 15 claims 18 Oct 2026

SEC proposes to rescind Rule 14a-8 and modernise proxy solicitation process

The SEC has issued two proposing releases on its proxy rules under the Securities Exchange Act of 1934. One would rescind Rule 14a-8 and amend Rule 14a-4(c); the other modernises the proxy solicitation process. Comment periods run 60 days from Federal Register publication. This segment covers what each release changes and the statutory-authority argument driving the first.

  • The SEC proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, citing statutory authority limits and intrusion into state law.
  • Rescission would leave the role of shareholder proposals to state law and company governing documents.
  • The Commission proposed amendments to Rule 14a-4(c) on discretionary proxy voting authority.
  • Solicitation amendments would eliminate the annual-report delivery requirement, drop the incorporation-by-reference delivery deadline, remove Notices of Exempt Solicitation, and cut the broker search period from 20 to five business days.
  • Both comment periods remain open for 60 days after Federal Register publication.
Source document
0:15
SEC SEC Press Releases Source document ↗
United States SEC Press Releases Governance & Accountability ✓ 11 claims 15 Oct 2026

SEC exempts broker-dealer and swap intermediary forms from Inline XBRL rules

The SEC has rolled back part of its own December 2024 Inline XBRL expansion, exempting a defined set of intermediary filings from machine-readable tagging. This segment covers which forms are affected, what remains in scope, and the Commission's stated rationale of cutting compliance cost without reducing investor protection.

  • Relief applies to Form CA-1 (except Exhibit H), Form 1 (except Exhibit I), Form X-17A-5 Part III, Form 17-H, and SBS dealer annual compliance reports.
  • The exempted requirements were originally adopted on December 16, 2024; Exhibit H and Exhibit I remain in scope.
  • Chairman Atkins said the order reduces compliance costs without sacrificing investor protection, citing immaterial gains in data accessibility.
Source document
play
SEC SEC Press Releases Source document ↗
United States SEC Press Releases Governance & Accountability ✓ 14 claims 15 Oct 2026

SEC Division of Examinations publishes new exam handbook replacing prior brochure

The SEC's Division of Examinations has released a new handbook describing how registrants are examined, from risk assessment through to the disposition letter. It replaces and expands the division's previous examination brochure. For compliance teams that face SEC exams, the document sets out what the division says registrants should expect at each stage and how to engage with examiners.

  • The Division of Examinations published "The SEC Exam Handbook: A Practical Guide on Process and Engagement" on October 1, 2026, replacing the previous examination brochure.
  • The handbook covers each stage of an exam, from the risk assessment process through to the disposition letter.
  • It provides several avenues for registrants to give feedback or ask questions, along with practical tips and resources to prepare for an exam.
  • Chairman Paul S. Atkins and Division Director Keith Cassidy framed the handbook as answering registrant requests for greater clarity and predictability.
Source document