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SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Governance & Accountability ✓ 19 claims 30 Oct 2026

Atkins touts SEC plan to rescind Rule 14a-8, climate rule in Dallas speech

Chairman Paul Atkins used an address to the Economic Club of Dallas to frame the SEC's current rulemaking agenda as a 'return to First Principles,' tying together IPO reform, digital asset proposals and a plan to rescind the shareholder-proposal rule. Compliance and governance teams should note which specific proposals he cited and their current status.

  • Atkins said the SEC proposed earlier this year to let public companies choose semi-annual reporting instead of quarterly reports.
  • From the start of 2025 through the first half of 2026, more than 580 companies went public, raising $208 billion, with 47 IPOs in Texas alone.
  • The Commission has proposed rescinding Rule 14a-8, a shareholder-proposal rule in place since 1942, to return governance authority to individual states.
  • The SEC's proposed Regulation Crypto Assets, unveiled in August, and its Innovation Exemption aim to create capital-raising pathways for crypto issuers and permit certain onchain trading of tokenized securities.
  • Atkins confirmed the Commission has proposed rescinding the prior administration's climate disclosure rule.
Source document
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SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Digital Assets ✓ 12 claims 29 Oct 2026

SEC official signals transfer agent role in tokenized stock trading venues

A speech by the SEC's Division of Trading and Markets director to the Securities Transfer Association lays out how the agency's recently approved tokenized securities exemption and pending transfer agent rule modernization intersect. Compliance teams at transfer agents and issuers exploring tokenization should note the specific conditions attached to the exemption and the open questions on digital identifiers and escheatment.

  • The SEC approved the Innovation Exemption on September 17, a five-year conditional exemption from the 'exchange' definition for Tokenized Securities Venues (TSVs).
  • TSVs must be U.S. persons, operate on public permissionless blockchains, and are subject to volume limits, among other conditions.
  • Any tokenized NMS stock traded on a TSV must carry all the same rights and privileges as the underlying security.
  • Commissioner Hester Peirce posed four public feedback questions on the transfer agent rule proposal, including whether transfer agents should be allowed to use digital identifiers like email or wallet address instead of name and physical address.
  • The SEC is seeking feedback, particularly empirical data on costs and benefits, on its proposal to modernize transfer agent rules.
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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.
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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.
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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.
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SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Conduct & Consumer ✓ 14 claims 22 Oct 2026

SEC official warns on governance gaps in California JPA bond financings

A speech by the SEC's municipal securities chief to a California public finance conference lays out specific concerns about bond-issuing joint powers authorities, citing fee structures, board composition and disclosure failures, before turning briefly to risks in the fast-growing energy prepay bond sector.

  • One JPA financed 14 essential housing projects with $2.5 billion in bond financing, and half have defaulted, dipped into reserves, or reported impairment.
  • Another JPA has a 1% default rate, which the speech says is over 30 times the overall municipal bond default rate and over 100 times the default rate for general governmental bonds.
  • Firms advising California JPAs received fees ranging from around $3.1 million to over $11.9 million per JPA for the fiscal year ended June 30, 2025.
  • The two largest California statewide JPAs have retained almost $125 million in issuer fees since 2010.
  • Energy prepay bonds have surpassed $100 billion outstanding in 2025 and now exceed 5% of the Bloomberg Municipal Index, with 37% average annual issuance growth.
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SEC SEC Speeches and Statements Source document ↗
United States SEC Speeches and Statements Governance & Accountability ✓ 14 claims 22 Oct 2026

SEC investment management chief outlines retail alternatives agenda at Stanford

A senior SEC official sets out, in his own words, how the Division of Investment Management intends to expand retail access to alternative assets. The speech matters because it previews a policy agenda built on recent no-action letters, exemptive orders and pending rule proposals rather than a single new rule, giving compliance teams an early map of where the Division is headed.

  • Daly said the Commission's 'Responsible Retailization' initiative rests on three components: access, transparency and incentives.
  • The speech references Executive Order 14330, directing that 401(k) retirement account participants have more private market investment options, signed Aug. 7, 2025.
  • Daly cited Division staff actions over the past year and a half covering fund seeding, co-investment, multiple share classes, and scheduling and sizing of redemptions, including specific no-action letters and exemptive orders listed in the footnotes.
  • A proposed rule on interval fund modernization and multiple share classes for closed-end funds and BDCs was issued Sept. 30, 2026, per Release No. 33-11444.
  • A separate proposed rule, Investment Adviser Performance-Based Compensation Modernization, was issued the same day, per Release Nos. 33-11443 and IA-7022, to expand advisers' ability to charge performance fees to a wider client base.
Source document