The House Financial Services Committee's Subcommittee on Capital Markets scheduled a hearing titled "From Order to Execution: Ensuring Efficient and Transparent Equity Markets" for May 20, 2026, at 2:00 p.m. in 2128 Rayburn House Office Building.

A broker-dealer settled state charges for unreasonable commissions on small principal equity transactions.

Nasdaq proposed tightening its initial listing requirements for Special Purpose Acquisition Companies.

SEC Chair Paul Atkins called on global regulators to deepen cooperation on regulatory policy, cross-border enforcement, and emerging technology to safeguard international capital markets.

A broker-dealer's former regional branch manager was suspended and fined for failing to supervise registered representatives who churned and excessively traded customer accounts.