Federal Regulatory Agencies
Here's a look at documents from federal regulatory agencies
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SEC Commissioner Uyeda Issues Remarks for the Investor Advisory Committee Meeting
WASHINGTON, March 13 -- The Securities and Exchange Commission issued the following remarks on March 12, 2026, by Commissioner Mark T. Uyeda at an Investor Advisory Committee meeting:
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Good morning. Nearly four years ago, I returned to the SEC as a Commissioner. That timeframe roughly corresponds to when a particular cohort of individuals were named to the SEC's Investor Advisory Committee and began their terms. Today is the final Committee meeting for this cohort, who will complete their terms in the near future: Brian Schorr, Paul Roye, Colleen Honigsberg, James Andrus, Gina-Gail Fletcher,
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WASHINGTON, March 13 -- The Securities and Exchange Commission issued the following remarks on March 12, 2026, by Commissioner Mark T. Uyeda at an Investor Advisory Committee meeting:
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Good morning. Nearly four years ago, I returned to the SEC as a Commissioner. That timeframe roughly corresponds to when a particular cohort of individuals were named to the SEC's Investor Advisory Committee and began their terms. Today is the final Committee meeting for this cohort, who will complete their terms in the near future: Brian Schorr, Paul Roye, Colleen Honigsberg, James Andrus, Gina-Gail Fletcher,Christine Lazaro, Andrew Park, and Dr. David Rhoiney. Thank you for your service to the Committee and the investing public. I appreciate the significant time and effort that each of you have put into being a member of the Committee.
Today's meeting will have panel discussions on public company disclosure reforms and fund proxy voting. Regulation S-K is the core public company disclosure framework governing non-financial information. Over the decades, Regulation S-K has ballooned into a laundry list of requirements that are sometimes duplicative, outdated, or immaterial. Last year, Commission staff were instructed to start a comprehensive review of Regulation S-K and solicited public input as part of the Commission's efforts to modernize these long-standing disclosure requirements. I do not think that many people appreciate the significant effort it takes to provide good disclosure. It is much more than simply writing sentences on a document. For every disclosure, there are controls, procedures, documentation, and approvals that stand behind them. It is not a costless exercise. Thus, it is timely for the Committee to have a discussion on public company disclosure, especially as to what reforms might reduce unnecessary burdens on public companies without compromising investor protection and capital formation.
Today's second panel will discuss fund proxy voting. Satisfying the quorum requirement has long been a challenge for funds, particularly when many retail investors hold their fund shares through intermediaries such as investment advisers or broker dealers. The rising costs associated with conducting fund proxy campaigns ultimately fall on fund shareholders and reduce fund performance. A well functioning proxy voting system is needed to ensure that funds can take actions in the interest of shareholders, such as adding board members, amending fundamental policies, or pursuing certain fund mergers to reduce expenses. I look forward to hearing your ideas on practical ways to modernize the fund proxy voting framework and the role the SEC should play in that effort.
Lastly, the Committee will be considering a draft recommendation on the tokenization of equity securities. This recommendation follows the Committee's discussion of this issue at its last meeting in December. Throughout its history, the SEC has witnessed financial innovation that the federal securities laws did not originally contemplate. In the 1970s, money market funds emerged as a instrument to deal with the sky-high interest rates, prompting the Commission to issue exemptive relief until these products were ultimately codified in Rule 2a 7. A similar pattern followed with ETFs, which began as a way to provide investors with intraday liquidity. For years, the Commission granted individual exemptions to allow ETFs to operate until adopting Rule 6c 11. Tokenization of equity securities may be the next example of an innovation that could bring significant benefits to investors but does not fit neatly into the existing regulatory framework. I appreciate the Committee's efforts to recognize that the advent of new technologies means that our rules may need to evolve but keeping in mind the goals of protecting investors and maintaining fair, orderly, and efficient markets.
Thank you to the Committee members and the panelists for your time in preparing for this meeting. I look forward to the discussions to follow.
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Original text here: https://www.sec.gov/newsroom/speeches-statements/uyeda-remarks-iac-031226
SEC Chairman Atkins Issues Remarks at the Investor Advisory Committee Meeting
WASHINGTON, March 13 -- The Securities and Exchange Commission issued the following remarks on March 12, 2026, by Chairman Paul S. Atkins at an Investor Advisory Committee meeting:
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Good morning, ladies and gentlemen, and welcome to our first Investor Advisory Committee meeting of the year. Before I make some opening remarks, let me offer the customary disclaimer that the views I express here are my own as Chairman and not necessarily those of the SEC as an institution or of the other Commissioners. Of course, I should also like to acknowledge those of you for whom today marks your final
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WASHINGTON, March 13 -- The Securities and Exchange Commission issued the following remarks on March 12, 2026, by Chairman Paul S. Atkins at an Investor Advisory Committee meeting:
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Good morning, ladies and gentlemen, and welcome to our first Investor Advisory Committee meeting of the year. Before I make some opening remarks, let me offer the customary disclaimer that the views I express here are my own as Chairman and not necessarily those of the SEC as an institution or of the other Commissioners. Of course, I should also like to acknowledge those of you for whom today marks your finalIAC meeting. This Committee has an important mission to give considered input to the Commission. I am grateful for the service that you have given--and for the contributions that you have made.
In just a few moments, your first panel will discuss ways in which we can reduce unnecessary disclosure burdens, which have increased dramatically in recent decades.
At a high level, achieving what I often call the "minimum effective dose of regulation" requires the Commission to follow a few ideals. First is rationalizing. Our rules should be sensible and disciplined, with materiality as our north star. Second, these requirements must scale with a company's size and maturity. Balancing disclosure obligations with a company's ability to bear the burdens of compliance is especially important where Congress has directed the SEC to promulgate a disclosure rule whose costs may fall unevenly or be completely askew. And for newly public companies, the SEC should consider building upon the "IPO on-ramp" that Congress established in the JOBS Act. For example, allowing companies to remain on the "on-ramp" for a minimum number of years, rather than forcing them off as soon as the first year after the initial offering, could provide companies with greater certainty and incentivize more IPOs, especially among smaller companies.
A third theme involves the SEC's tendency to regulate indirectly, or set expectations for, matters of corporate governance through so-called "comply or explain" disclosure requirements. Absent a clear congressional directive, it is not the SEC's role to enforce evolving notions of "best practice" governance standards through what I consider "regulation by shaming." Our mandate is disclosure rooted in materiality, not to enforce governance orthodoxy by embarrassment. These decisions, of course, should be left ultimately to shareholders and their directors to sort out according to the aspects of their company.
Later today, your second panel will then focus on the persistent challenges that publicly offered funds face in obtaining a quorum for shareholder meetings. As retail patterns evolve and the intermediated nature of account structures complicate outreach, attaining that threshold has become more difficult and more costly. The Commission is attuned to these dynamics, and I look forward to the panel's insights on potential avenues for modernization that preserve investor protections.
Finally, the Committee will vote on recommendations regarding the tokenization of equity securities. I want to thank the IAC for engaging thoughtfully with this topic, as well as for your recognition that tokenization can enhance settlement efficiency, reduce settlement risk, and eliminate unnecessary intermediaries.
As I have previously discussed, I expect the Commission to soon consider an innovation exemption to facilitate limited trading of certain tokenized securities with an eye toward developing a long-term regulatory framework.[1] To help inform our work in this area and to provide for robust public input, our Crypto Task Force has hosted several roundtables, met with hundreds of market participants, solicited broad public feedback, and received scores of written input submissions over the past thirteen months on how best to calibrate our rules to new and novel types of trading.[2][3][4]
We continue to welcome comments on the design of a potential innovation exemption, which would be limited in time and scope, but long enough so that we can craft more durable rules that harness the full potential of these new technologies.
With that, I want to close where I began, which is by thanking you for your service on this Committee--especially our departing members. Your work here has been careful and rigorous. You have given the Committee the benefit of your experience, with the interests of investors foremost in your minds. And I know that while public service of this kind rarely draws headlines, it very much strengthens the foundations on which our markets depend. So, each of you has my sincere thanks--and best wishes for today's meeting and in the endeavors that lie ahead. Thank you.
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[1] https://www.sec.gov/newsroom/speeches-statements/atkins-peirce-021826-number-go-down-other-schadenfreude
[2] https://www.sec.gov/featured-topics/crypto-task-force/crypto-task-force-written-input
[3] https://www.sec.gov/featured-topics/crypto-task-force/crypto-task-force-roundtables
[4] https://www.sec.gov/featured-topics/crypto-task-force/crypto-task-force-meetings
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Original text here: https://www.sec.gov/newsroom/speeches-statements/atkins-remarks-iac-031226
NRC Proposes Caps to Signal Predictability to Incentivize Industry, Spur Innovation
WASHINGTON, March 13 -- The Nuclear Regulatory Commission issued the following news release on March 12, 2026:
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NRC Proposes Caps to Signal Predictability to Incentivize Industry, Spur Innovation
The Nuclear Regulatory Commission today issued a proposed rule to set fixed, accountable fee caps for new and current licensees and reduced fees for prospective applicants. This proposal will help licensees anticipate costs and reduce the risks of budget shortfalls.
"We need to cultivate accountability internally, incentivize applicants, and lower barriers for new technologies," Chairman Ho K.
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WASHINGTON, March 13 -- The Nuclear Regulatory Commission issued the following news release on March 12, 2026:
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NRC Proposes Caps to Signal Predictability to Incentivize Industry, Spur Innovation
The Nuclear Regulatory Commission today issued a proposed rule to set fixed, accountable fee caps for new and current licensees and reduced fees for prospective applicants. This proposal will help licensees anticipate costs and reduce the risks of budget shortfalls.
"We need to cultivate accountability internally, incentivize applicants, and lower barriers for new technologies," Chairman Ho K.Nieh said. "This rule supports innovation and aligns with the NRC's principles of efficiency and reliability."
As part of Executive Order 14300, "Ordering the Reform of the Nuclear Regulatory Commission," these proposed changes include:
* Establishing fixed caps on service fees for licensing and other applicant-requested activities, ensuring greater financial predictability and transparency for developers.
* Improving efficiency and accountability in licensing processes by aligning fees with defined review expectations and resource planning.
* Increasing the professional hourly rate by $18 to $336 for FY 2026 and the reduced hourly rate $6 to $154--more than 50% lower than the professional rate.
* Revising annual fees across fee classes to align with workload, risk-informed program needs, and the agency's FY 2026 budget structure.
A public meeting will be held via webcast on March 27, from 10:00 am-12:00 pm Eastern time. The meeting notice includes instructions for online attendance.
Written comments from the public will be accepted through April 13 and can be submitted via Regulations.gov, under Docket ID NRC-2023-0212.
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The U.S. Nuclear Regulatory Commission was created as an expert, technical agency to protect public health, safety, and security, and regulate the civilian use of nuclear materials, including enabling the deployment of nuclear power for the benefit of society. Among other responsibilities, the agency issues licenses, conducts inspections, initiates and enforces regulations, and plans for incident response. The NRC is collaborating with interagency partners to implement reforms outlined in new Executive Orders and the ADVANCE Act to streamline agency activities and enhance efficiency.
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Original text here: https://www.nrc.gov/sites/default/files/cdn/doc-collection-news/2026/26-031.pdf
FTC Warns 97 Auto Dealership Groups About Deceptive Pricing
WASHINGTON, March 13 -- The Federal Trade Commission issued the following news release:
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FTC Warns 97 Auto Dealership Groups About Deceptive Pricing
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The Federal Trade Commission is sending letters to 97 auto groups nationwide, warning them that the prices they advertise must be the total price-including all mandatory fees-that consumers will be required to pay.
The letters encourage dealers to review their advertising and pricing practices, including ensuring advertised prices include all fees consumers will be required to pay when buying a vehicle. At a minimum, this includes evaluating
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WASHINGTON, March 13 -- The Federal Trade Commission issued the following news release:
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FTC Warns 97 Auto Dealership Groups About Deceptive Pricing
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The Federal Trade Commission is sending letters to 97 auto groups nationwide, warning them that the prices they advertise must be the total price-including all mandatory fees-that consumers will be required to pay.
The letters encourage dealers to review their advertising and pricing practices, including ensuring advertised prices include all fees consumers will be required to pay when buying a vehicle. At a minimum, this includes evaluatingadvertised prices to ensure they match actual prices charged to consumers. The FTC will continue to monitor the marketplace, the letters state, and will take additional action as warranted to ensure compliance with the FTC Act and other rules the Commission enforces.
"The Trump-Vance FTC is committed to preventing auto dealers from misleading consumers with low advertised prices and then adding on mandatory fees at the end of the purchasing process," said Christopher Mufarrige, Director of the FTC's Bureau of Consumer Protection. "The FTC will remain focused on monitoring auto dealerships to ensure that the market functions efficiently and competitors are transparently competing on price."
The letters are part of the FTC's ongoing work to ensure price transparency across multiple markets, including rental housing, ticketing and hotels, grocery and delivery services, and auto sales and leasing. To help support affordability in the marketplace, the agency is dedicated to ensuring that consumers only pay the advertised price for products and services, and are not subject to undisclosed fees, hidden charges or other illegal conduct.
The letters the FTC sent to the auto dealers cite several examples of illegal pricing practices in the auto industry including:
* advertising a price that does not reflect all required fees,
* advertising a price that reflects rebates or discounts not available to all consumers,
* advertising a price that fails to take into account the amount of an additional required down payment,
* conditioning the advertised price on consumers using dealer financing,
* requiring consumers to buy additional items not reflected in the advertised price, and
* advertising unavailable or non-existent vehicles.
The letters also note several pending actions the FTC has brought to address deceptive pricing practices in the auto industry including cases against Lindsay Chevrolet, Leader Automotive Group and Asbury Automotive Group.
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Original text here: https://www.ftc.gov/news-events/news/press-releases/2026/03/ftc-warns-97-auto-dealership-groups-about-deceptive-pricing
CPSC Issues Recall Alert Involving ProRider Bicycle Helmets
WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: ProRider Bicycle Helmets
Hazard: The recalled helmets violate the mandatory safety standard for bicycle helmets because the helmets do not comply with the impact attenuation, positional stability, labeling and certification requirements. The helmets can fail to protect the user in the event of a crash, posing a serious risk of injury or death due to head injury.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 9,546
Consumer Contact: ProRider at
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WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: ProRider Bicycle Helmets
Hazard: The recalled helmets violate the mandatory safety standard for bicycle helmets because the helmets do not comply with the impact attenuation, positional stability, labeling and certification requirements. The helmets can fail to protect the user in the event of a crash, posing a serious risk of injury or death due to head injury.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 9,546
Consumer Contact: ProRider at800-642-3123 from 8 a.m. to 1 p.m. PT Monday through Friday, email at org@prorider.com, or online at www.prorider.com and click "Recall" at the top of the page for more information.
Recall Details
Description: This recall involves ProRider Economy, Bike Helmets with turn ring, Bike Helmets Black Foam, BMX Helmet and Toddler Bike Helmets. The helmets were sold in the following colors: blue, green, red, black, and purple. The model number, date of manufacture in MM/YYYY format, and serial number can be found on a label inside the helmet. [View table in the link at bottom.]
Remedy: Consumers should immediately stop using the recalled helmets and contact ProRider for a full refund. Consumers should destroy the helmet by cutting the straps and sending a photo of the destroyed helmet to org@prorider.com to obtain a refund.
Incidents/Injuries: None reported
Sold At: Distributed by Wisconsin Bike Federation, Kiwanis Club, Foster Love nationwide, and sold online at ProRider.com from June 2022 through May 2023 for between $5 and $18.
Importer(s): ProRider, Inc., of Kent, Washington
Manufactured In: China
Recall number: 26-320
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Original text here: https://www.cpsc.gov/Recalls/2026/ProRider-Recalls-Bicycle-Helmets-Due-to-Risk-of-Serious-Injury-or-Death-from-Head-Injury-Violates-Mandatory-Standard-for-Bicycle-Helmets
CPSC Issues Recall Alert Involving LIVEHOM 11-Drawer Dressers
WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: LIVEHOM 11-Drawer Dressers
Hazard: The recalled dressers are unstable if they are not anchored to the wall, posing tip-over and entrapment hazards that can result in risks of serious injuries or death to children. The dressers violate the mandatory safety standard as required by the STURDY Act.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 370
Consumer Contact: Simplehome by email at livehomerecall@163.com.
Recall Details
Description: This
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WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: LIVEHOM 11-Drawer Dressers
Hazard: The recalled dressers are unstable if they are not anchored to the wall, posing tip-over and entrapment hazards that can result in risks of serious injuries or death to children. The dressers violate the mandatory safety standard as required by the STURDY Act.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 370
Consumer Contact: Simplehome by email at livehomerecall@163.com.
Recall Details
Description: Thisrecall involves LIVEHOM-branded 11-Drawer Dressers. The recalled dressers are made of fabric and were sold in black, white, pink, rustic brown and charcoal black. They measure about 11.8 inches long, 39 inches wide and 46 inches tall and have 11 fabric drawers. The brand name can be found on the product sale receipt.
Remedy: Consumers should immediately stop using the recalled dressers if they are not anchored to the wall and place them in an area that children cannot access. Contact Simplehome for a full refund. Consumers will be asked to write "RECALL" with permanent marker on the dressers and send a photo of the marked dressers to livehomerecall@163.com. Consumers should then dispose of the recalled product.
Incidents/Injuries: None reported
Sold Online At: Amazon.com from December 2025 through January 2026 for about $110.
Retailer: Shenzhen Lvmukeji Co., Ltd., dba Simplehome, of China
Manufactured In: China
Recall number: 26-321
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Original text here: https://www.cpsc.gov/Recalls/2026/LIVEHOM-11-Drawer-Dressers-Recalled-Due-to-Risk-of-Serious-Injury-or-Death-from-Tip-Over-and-Entrapment-Hazards-Violates-Mandatory-Standard-for-Clothing-Storage-Units-Sold-on-Amazon-by-Simplehome
CPSC Issues Recall Alert Involving 17 Stories Furniture 14-Drawer Dressers
WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: 17 Stories Furniture 14-Drawer Dressers
Hazard: The recalled dressers are unstable if they are not anchored to the wall, posing tip-over and entrapment hazards that can result in risks of serious injuries or death to children. The dressers violate the mandatory standard as required by the STURDY Act.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 3,000
Consumer Contact: Hong Kong Baojia International by email at Baojia_recall@outlook.com.
Recall
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WASHINGTON, March 13 -- The Consumer Product Safety Commission issued the following recall alert on March 12, 2026:
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Name of Product: 17 Stories Furniture 14-Drawer Dressers
Hazard: The recalled dressers are unstable if they are not anchored to the wall, posing tip-over and entrapment hazards that can result in risks of serious injuries or death to children. The dressers violate the mandatory standard as required by the STURDY Act.
Remedy: Refund
Recall Date: March 12, 2026
Units: About 3,000
Consumer Contact: Hong Kong Baojia International by email at Baojia_recall@outlook.com.
RecallDetails
Description: This recall involves 17 Stories Furniture 14-Drawer Dressers. The recalled dressers were sold in the following colors: black, white, and brown. They have 14 fabric drawers and are 11.8 inches long by 37.4 inches wide by 52.2 inches tall. They have a metal frame, wooden top and 14 collapsable fabric drawers. Model numbers 55SCDR14KDBRDL, 55SCDR14KDCHDL, 55SCDR14KDPDL, 55SCDR14KDWPVCDL, and 55SCDR14KDGDL can be found on the product's packaging, or on the order information in your Wayfair account.
Remedy: Consumers should immediately stop using the recalled dressers if they are not anchored to the wall and place them in an area that children cannot access. Contact Hong Kong Baojia International for instructions on how to identify affected units and dispose of the dressers to receive a full refund. Consumers will be asked to submit a photo to Baojia_recall@outlook.com demonstrating disposal of the product.
Incidents/Injuries: None reported
Sold Online At: Wayfair.com from September 2023 through January 2026 for about $135.
Importer(s): Hong Kong Baojia International Limited, of China
Manufactured In: China
Recall number: 26-323
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Original text here: https://www.cpsc.gov/Recalls/2026/17-Stories-Furniture-14-Drawer-Dressers-Recalled-Due-to-Risk-of-Serious-Injury-or-Death-from-Tip-Over-and-Entrapment-Hazards-Violates-Mandatory-Standard-for-Clothing-Storage-Units-Imported-by-Hong-Kong-Baojia-International
