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Cards Wire 3 segments
0:15
SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Markets & Infrastructure ✓ 19 claims 27 Oct 2026

Atkins directs SEC staff to redraw gun-jumping rules in IPO overhaul

SEC Chairman Paul Atkins used remarks to the Small Business Capital Formation Advisory Committee to set out where his IPO Modernization initiative is heading next: a staff review of the Securities Act gun-jumping prohibitions, the first comprehensive look at the Commission's communication rules since 2005. He also flagged pending work on accredited-investor qualification and Regulation Crowdfunding reform.

  • Atkins has directed SEC staff to explore re-evaluating content and audience limits on offering communications and brighter lines on when a communication is an 'offer'.
  • Staff are also to consider cure provisions to reduce 'foot fault' gun-jumping violations by issuers.
  • The Commission has not completed a comprehensive review of its communication rules since 2005.
  • Last month the Commission issued notices of potential additional accredited-investor designations, including qualification by passing a FINRA-developed exam.
  • More than 9,800 Regulation Crowdfunding offerings have raised an average of $364,000 over the last decade, and Atkins has asked staff to evaluate amendments to the rules.
Source document
0:15
SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Markets & Infrastructure ✓ 11 claims 23 Oct 2026

SEC chairman backs approval of binary options tied to company KPIs

Chairman Paul Atkins issued a statement explaining the Commission's approval of a securities exchange rule change permitting binary options tied to specified key performance indicators reported by certain issuers. The statement sets out how these products will be regulated and flags what the order deliberately leaves unaddressed, including CFTC jurisdiction over comparably structured KPI contracts.

  • The SEC approved a proposed rule change permitting a securities exchange to list binary options overlying specified KPIs reported by certain issuers.
  • The approved binary KPI options will be cash-settled, European-style, standardized options classified as NMS securities.
  • These options will be subject to existing securities exchange rules covering customer accounts, margin requirements, trading halts, auctions, market-maker quoting obligations, order types and time-in-force.
  • The approval order does not address or foreclose CFTC jurisdiction over similarly structured KPI contracts falling under that agency's jurisdiction.
  • Chairman Atkins' statement is dated October 13, 2026.
Source document
0:15
SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Markets & Infrastructure ✓ 16 claims 23 Oct 2026

SEC trading chief details Rule 611 review, tokenised venue exemption and new derivatives

A speech by the SEC's Division of Trading and Markets director lays out the status of three live market structure initiatives: the proposed rescission of Rule 611, a conditional exemption for tokenised securities trading venues, and a wave of new derivatives products entering the market under SEC and CFTC jurisdiction. It matters because each affects execution obligations and venue registration status.

  • The Division is analysing over 1,200 comment letters on the June 11 proposal to rescind Rule 611 and amend Rule 610(e) for locked and crossed markets.
  • Chairman Atkins directed the Division to review Rule 610 access fee caps and Rule 612 minimum pricing increments by year-end, alongside any Rule 611 change.
  • The Commission approved the Innovation Exemption on September 17, a five-year conditional exemption from the exchange definition for Tokenized Securities Venues trading tokenised NMS stocks.
  • Five CFTC-registered DCMs, Coinbase, Kalshi, Bitnomial, NADEX and ICE Futures, filed Form 1-Ns in September to notice register as security futures exchanges.
  • The Commission approved Cboe's proposal to list binary security options based on KPIs tied to NMS securities, and CME launched cash-settled single-stock futures on July 27.
Source document