SEC and Regulation
Why this is rated stable
Litigation releases and administrative proceedings continue on a steady cadence (latest LR-26648 on Sept. 25, 2026; administrative orders through Sept. 25, 2026). The rulemaking index shows 13 proposed rules issued in 2026 still listed as Proposed, including two proxy-related proposals on Sept. 16 and a Regulation Crypto Assets proposal on Aug. 18. No emergency orders appear in the listings reviewed.
Stable: Operating within normal ranges. No significant disruptions or unusual risks. Methodology
What is this?
The SEC is the referee for the stock market. It makes rules and goes after people who break them.
How it's doing: Working normally.
About this area
The Securities and Exchange Commission oversees public companies, exchanges, and investment firms. This page tracks enforcement actions, rulemaking, and notable filings. Recent rulemaking activity spans proxy solicitation, transfer agents, crypto assets, Regulation NMS, and offering reform, while enforcement listings show continuing civil actions and administrative proceedings.
Indicators
Latest readings. Changes are shown without judgment of whether up or down is better.
| Indicator | Latest |
|---|---|
Enforcement actions (fiscal YTD) SEC.gov publishes litigation releases and administrative proceeding orders as listings but does not display a fiscal year-to-date enforcement action count on the pages reviewed. Sources: U.S. Securities and Exchange Commission, U.S. Securities and Exchange Commission | not published on sec.gov |
Open proposed rules Count of entries on the SEC Rulemaking Activity index issued in 2026 with status 'Proposed Rule' as of Sept. 28, 2026. Source: U.S. Securities and Exchange Commission | 13rules |
Timeline of developments
SEC publishes updated market statistics showing higher IPO activity (opens original release)
Press release 2026-93 reports updated market statistics highlighting an increase in IPOs and proceeds raised.
Source: U.S. Securities and Exchange CommissionSEC censures OTC Link LLC for Regulation SCI compliance failures (opens original release)
Press release 2026-91 reports censure of OTC Link LLC for repeated compliance failures related to Regulation SCI; a corresponding administrative order (34-106458) appears in the administrative proceedings listing.
Sources: U.S. Securities and Exchange Commission, U.S. Securities and Exchange CommissionSEC issues 'Innovation Exemption' for trading of tokenized NMS stock (opens original release)
Press release 2026-90 announces an innovation exemption to facilitate trading of tokenized NMS stock along with a request for comment.
Source: U.S. Securities and Exchange CommissionSEC proposes proxy solicitation modernization and Rule 14a-8 rescission (opens original release)
The rulemaking index lists two proposed rules issued Sept. 16, 2026: Proxy Solicitation Modernization (S7-2026-33) and Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4 (S7-2026-32).
Source: U.S. Securities and Exchange CommissionThe rulemaking index lists proposed rule S7-2026-31, Political Contributions by Certain Investment Advisers (IA-6994), issued Sept. 3, 2026.
Source: U.S. Securities and Exchange CommissionSEC proposes modernization of transfer agent rules (opens original release)
Proposed rule S7-2026-30, Transfer Agent Rules (34-106246), was issued Sept. 1, 2026 per the rulemaking index.
Source: U.S. Securities and Exchange CommissionSEC proposes Regulation Crypto Assets (opens original release)
Proposed rule S7-2026-27, Regulation Crypto Assets (33-11434, 34-106150), was issued Aug. 18, 2026 per the rulemaking index.
Source: U.S. Securities and Exchange Commission
Sources and citationsWhere this info comes from
- 1.Press Releases
U.S. Securities and Exchange Commission. Accessed Sep 28, 2026.
- 2.Rulemaking Activity
U.S. Securities and Exchange Commission. Accessed Sep 28, 2026.
- 3.Litigation Releases
U.S. Securities and Exchange Commission. Accessed Sep 28, 2026.
- 4.Administrative Proceedings
U.S. Securities and Exchange Commission. Accessed Sep 28, 2026.
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