Federal Regulatory Agencies
Here's a look at documents from federal regulatory agencies
Featured Stories
SEC Obtains Final Consent Judgment as to Florida Attorney Charged With Aiding and Abetting Offering Fraud
WASHINGTON, April 30 -- The Securities and Exchange Commission issued the following litigation release (No. 1:24-cv-3309 (TRJ); N.D. Ga. filed July 25, 2024) involving Florida Attorney charged with aiding and abetting offering fraud:
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On April 27, 2026, the U.S. District Court for the Northern District of Georgia entered a final consent judgment as to defendant Alvin Christopher Jones, whom the SEC previously charged with aiding and abetting an offering fraud.
The SEC's complaint alleges that Jones, a licensed attorney, aided and abetted a fraudulent prime bank and gold and diamond investment
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WASHINGTON, April 30 -- The Securities and Exchange Commission issued the following litigation release (No. 1:24-cv-3309 (TRJ); N.D. Ga. filed July 25, 2024) involving Florida Attorney charged with aiding and abetting offering fraud:
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On April 27, 2026, the U.S. District Court for the Northern District of Georgia entered a final consent judgment as to defendant Alvin Christopher Jones, whom the SEC previously charged with aiding and abetting an offering fraud.
The SEC's complaint alleges that Jones, a licensed attorney, aided and abetted a fraudulent prime bank and gold and diamond investmentscheme conducted by Roosevelt Tobias Bailey and Borg Investment Bank & Capital Trust. The complaint alleges that Jones provided substantial assistance to the fraud by serving as a "paymaster" and receiving and disbursing investor funds according to Bailey's instructions, despite having received many investor complaints, including complaints that specifically alleged that Borg Bank or Bailey had committed fraud and that Jones was complicit in that fraud.
Without admitting or denying the allegations in the SEC's complaint, Jones consented to the entry of the final judgment that permanently enjoins him from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and orders him to pay disgorgement of $9,112.52, prejudgment interest of $2,350.25, and a civil penalty of $15,000.
The SEC's litigation was conducted by James P. McDonald and Jacqueline M. Moessner, and was supervised by Gregory A. Kasper and Nicholas P. Heinke of the SEC's Denver Regional Office. The SEC's investigation was conducted by Kenneth E. Stalzer, Rachel Yeates, and Daniel Konosky, and was supervised by Marc D. Ricchiute, all of the Denver Regional Office.
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Resources
* Order and Final Judgment (https://www.sec.gov/files/litigation/litreleases/2026/judg26543.pdf)
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Original text here: https://www.sec.gov/enforcement-litigation/litigation-releases/lr-26543
FCC Announces Tentative Agenda for May Open Meeting
WASHINGTON, April 30 -- The Federal Communications Commission issued the following news release on April 29, 2026:
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FCC Announces Tentative Agenda for May Open Meeting
Federal Communications Commission Chairman Brendan Carr announced that the items below are tentatively on the agenda for the May Open Commission Meeting scheduled for Wednesday, May 20, 2026:
Enhancing Know-Your-Upstream-Provider Requirements - The Commission will consider a Further Notice of Proposed Rulemaking that would propose to enhance the STIR/SHAKEN framework used by voice providers to combat illegal robocalls by
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WASHINGTON, April 30 -- The Federal Communications Commission issued the following news release on April 29, 2026:
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FCC Announces Tentative Agenda for May Open Meeting
Federal Communications Commission Chairman Brendan Carr announced that the items below are tentatively on the agenda for the May Open Commission Meeting scheduled for Wednesday, May 20, 2026:
Enhancing Know-Your-Upstream-Provider Requirements - The Commission will consider a Further Notice of Proposed Rulemaking that would propose to enhance the STIR/SHAKEN framework used by voice providers to combat illegal robocalls byimproving know-your-upstream-provider (KYUP) requirements and oversight, raising standards for STIR/SHAKEN attestations, and closing implementation loopholes. (WC Docket No. 17-97; CG Docket No. 17-59)
Streamlining Broadband Data Processes and Reducing Unnecessary Regulatory Burdens -The Commission will consider a Report and Order and Further Notice of Proposed Rulemaking that would take several steps to streamline and improve the FCC's Broadband Data Collection (BDC). This item would alleviate unnecessary regulatory burdens on service providers and challenge process participants by streamlining audits and verifications, improving challenge processes, and reducing regulatory burdens that add costs without a corresponding benefit to the quality of provider-reported data, all while ensuring that the data depicted on the National Broadband Map is accurate. (WC Docket Nos. 11-10, 19-195; GN Docket No. 25-133)
Modernizing the Disaster Information Reporting System (DIRS) - The Commission will consider a Third Report and Order to modernize DIRS by enhancing its capabilities while eliminating unnecessary reporting burdens. These actions will provide better information to emergency managers during disasters and allow communications service providers to focus their resources on service restoration instead of redundant paperwork at times when every second counts. (PS Docket Nos. 21-346, 15-80; ET Docket No. 04-35)
Launching 'High-Cost' Program Initiative - The Commission will consider a Notice of Proposed Rulemaking seeking comment on how a High-Cost Modernization initiative could best ensure that all Americans, particularly those in rural areas, have access to next-generation services in an ever-changing environment. (WC Docket Nos. 26-96, 10-90)
Public Drafts of Meeting Items - The FCC publicly releases the draft text of each item expected to be considered at the next Open Commission Meeting. One-page cover sheets are included in the public drafts to help summarize each item. All these materials will be available on the FCC's Open Meeting page: www.fcc.gov/openmeeting.
Public Attendance - The Open Meeting is scheduled to commence at 10:30 a.m. ET in the Commission Meeting Room of the Federal Communications Commission, 45 L Street, N.E., Washington, D.C. While the Open Meeting is open to the public, the FCC headquarters building is not open access, and all guests must check in with and be screened by FCC security at the main entrance on L Street. Attendees at the Open Meeting will not be required to have an appointment but must otherwise comply with protocols outlined at: https://www.fcc.gov/visit. Open Meetings are streamed live at www.fcc.gov/live.
Press Access - Members of the news media are welcome to attend the meeting and will be provided reserved seating on a first-come, first-served basis. Following the meeting, the Chairman may hold a news conference in which he will take questions from credentialed members of the press in attendance. Afterwards, senior policy and legal staff will be made available to the press in attendance for questions related to the items on the meeting agenda. Commissioners may also choose to hold press conferences. Press may also direct questions to the Office of Media Relations (OMR): MediaRelations@fcc.gov. Questions about credentialing should be directed to OMR.
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Original text here: https://docs.fcc.gov/public/attachments/DOC-421204A1.pdf
SEC Commissioner Uyeda Issues Remarks to the Small Business Capital Formation Advisory Committee
WASHINGTON, April 29 -- The Securities and Exchange Commission issued the following remarks on April 28, 2026, by Commissioner Mark T. Uyeda before the Small Business Capital Formation Advisory Committee:
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Thank you, Marcia [Dawood].[1] Good afternoon and it is good to see some of the members of the Advisory Committee in person. Thank you to our guests--Edwin O'Connor and Beau Bohm--for leading the deep dive into encouraging more companies to go public.
Nearly four years ago at this Committee, I raised concerns about the declining number of public companies and the regulatory headwinds
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WASHINGTON, April 29 -- The Securities and Exchange Commission issued the following remarks on April 28, 2026, by Commissioner Mark T. Uyeda before the Small Business Capital Formation Advisory Committee:
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Thank you, Marcia [Dawood].[1] Good afternoon and it is good to see some of the members of the Advisory Committee in person. Thank you to our guests--Edwin O'Connor and Beau Bohm--for leading the deep dive into encouraging more companies to go public.
Nearly four years ago at this Committee, I raised concerns about the declining number of public companies and the regulatory headwindscompounding that trend.[2] The current Commission is dedicated to reversing that trend and has embarked on a reform agenda to accomplish that objective. While the number of initial public offerings (IPOs) has shown some signs of improvement,[3] that recovery has been uneven--disproportionately benefitting larger and later-stage companies[4]--and for the small companies this Committee exists to serve, many barriers remain.
The challenge of going public is particularly acute for small companies. Data from today's Committee agenda indicates that small companies made up 44% of 2024 IPOs but raised only 3% of the capital.[5] That disparity suggests that while small companies are still attempting to access the public markets, the economics may be broken. Fixed compliance costs, underwriter economics, and a regulatory framework calibrated for large issuers make it extraordinarily difficult for small companies to raise meaningful capital through a public offering. The result is a public market that is increasingly the domain of large, late-stage companies--and a shrinking opportunity set for investors who want to participate in earlier stage growth.
The consequences of a less hospitable public market for small companies are not abstract. They impact the founder who cannot raise the capital, the early investor waiting years for a liquidity event that may never come as an IPO, and the ordinary American who is increasingly a spectator to growth that happens out of their reach. A public market that functions as an exit ramp for private capital rather than an on-ramp for ordinary investors is not serving its foundational purpose.
The barriers here are both economic and structural--and addressing only one without the other will not be enough. A healthy IPO market depends on the ecosystem that surrounds the transaction--the analyst coverage that generates investor awareness, the market-making that provides post-IPO liquidity, and the institutional interest that contributes to price discovery in the aftermarket. For small companies, that ecosystem has quietly eroded over the years. Analyst coverage has thinned--the OASB's 2024 Annual Report found that 44% of small- and mid-cap stocks have no analyst coverage at all.[6] Without coverage, investors may be more hesitant to take positions, which can negatively affect liquidity. Thus, for a small company contemplating an IPO, going public makes little sense if the costs exceed the benefits.
Each of these problems reinforces the others, and no single regulatory fix addresses all of them. What is needed are changes to make the small company IPO more viable--and a Commission willing to take those steps. Ideas such as modernizing the shelf registration process, revisiting quarterly reporting, and reviewing the emerging growth company framework and our outdated filer category thresholds would be valuable first steps.
That brings me to the questions I hope today's discussion will help answer. Are our public company requirements tailored to the companies that need access to public capital--or to the companies that can most easily absorb the cost of compliance? What would an appropriately scaled regulatory framework look like? Have the rules governing research coverage, underwriter compensation, and post-IPO market-making kept pace with how those markets actually work today--or are they quietly discouraging the very activity we are trying to encourage?
This Committee has the expertise and the mandate to help us answer these difficult questions. To all members of the Committee: thank you for your service and your continued engagement. The work you do here matters to the entrepreneurs and investors you represent, as well as the long-term health of our capital markets. I look forward to hearing from the Committee on these important issues.
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[1] My remarks today reflect my views as an individual Commissioner and not necessarily the views of the full Commission or my fellow Commissioners.
[2] Commissioner Mark T. Uyeda, Remarks to the Small Business Capital Formation Advisory Committee (Oct. 13, 2022), available at https://www.sec.gov/newsroom/speeches-statements/uyeda-sbcfac-20221013.
[3] EY Q1 2026 Global IPO Trends: How IPO Candidates Can Navigate Uncertain and Selective Markets, Ernst & Young (Apr. 8, 2026), available at https://www.ey.com/en_us/insights/ipo/trends.
[4] Id.
[5] Small Business Capital Formation Advisory Committee Meeting Agenda (Apr. 28, 2026), available at https://www.sec.gov/newsroom/meetings-events/sbcfac-042826; see also Staff Report from the Office of the Advocate for Small Business Capital Formation Fiscal Year 2025 (Jan. 8, 2026) at 48, available at https://www.sec.gov/files/2025-oasb-staff-report.pdf.
[6] Office of the Advocate for Small Business Capital Formation Annual Report for the 2024 Fiscal Year (Dec. 12, 2024) at 40, available at https://www.sec.gov/reports/2024-oasb-annual-report.
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Original text here: https://www.sec.gov/newsroom/speeches-statements/uyeda-remarks-sbcfac-042826
SEC Chairman Atkins Issues Remarks at the Small Business Capital Formation Advisory Committee Meeting
WASHINGTON, April 29 -- The Securities and Exchange Commission issued the following remarks on April 28, 2026, by Chairman Paul S. Atkins at the Small Business Capital Formation Advisory Committee meeting :
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Good morning, ladies and gentlemen, and thank you all for being present with us today. Because of conflicting official commitments, I am on the other side of town. Unfortunately, I do not have the gift of omnipresence. But, thanks to video technology, I can at least be with you to share some thoughts. If I could do so, I would be present to talk to you all in person.
Before I go further,
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WASHINGTON, April 29 -- The Securities and Exchange Commission issued the following remarks on April 28, 2026, by Chairman Paul S. Atkins at the Small Business Capital Formation Advisory Committee meeting :
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Good morning, ladies and gentlemen, and thank you all for being present with us today. Because of conflicting official commitments, I am on the other side of town. Unfortunately, I do not have the gift of omnipresence. But, thanks to video technology, I can at least be with you to share some thoughts. If I could do so, I would be present to talk to you all in person.
Before I go further,I should also like to add 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.
Today, the Committee will turn its focus to a challenge that I consider among the most consequential before us: how to encourage more companies--especially small and burgeoning businesses--to go public.
As I mentioned at our previous meeting, one of my highest priorities as Chairman is to reinvigorate an IPO pipeline that has diminished by roughly 40 percent since the mid-1990s. Decades of accretive rulemaking, including some at the direction of Congress, have made the path to becoming a public company narrower--and the experience of remaining one encumbered with rules that can introduce more friction than benefit.
Meanwhile, among companies that do go public, more and more investments tend to be concentrated within the same one or two industries. But raising capital through the public markets should not be a privilege reserved for those few "unicorns." Today, companies tend not to go public, if at all, until after their Series E round in private fundraising, whereas twenty years ago, an IPO would be the equivalent of today's Series B or C. Our regulatory framework should provide companies in all stages of their growth--and from all industries--with the opportunity for an IPO, particularly one that represents a capital raising mechanism for the company rather than a liquidity event for insiders. More than a corporate milestone, I also believe that every IPO is an invitation for workers and savers to participate in the prosperity of the next generation of American enterprise. When fewer companies extend that invitation, fewer Americans receive it. In short, the status quo has not served small businesses--or the American people--especially well, which means that we must set our sights higher than merely tinkering on the margins.
With that goal in mind, I am eager for the Commission to propose rules that deliver on my agenda to "Make IPOs Great Again." For proposals in the near term, I have instructed our staff to evaluate several ideas that, if proposed and ultimately adopted, could help all companies--but especially the smaller ones--in going and staying public. These ideas build on concepts that have proven successful and aim to spread that success to more companies.
For example, a regulatory IPO "on-ramp" that does not automatically terminate five years after a company becomes public may provide more certainty to smaller companies--and encourage them to stay public. Additionally, the current so-called "baby shelf" rules for Form S-3 are unnecessarily complex and overly restrictive, making it difficult for smaller companies to raise the necessary capital quickly. Providing nearly all small public companies with full access to "shelf registration" would allow them to tap the public markets quickly and when conditions are ideal. Finally, giving companies the option to file their regulatory reports quarterly or semiannually affords flexibility based on their industry, business model, and investor expectations.
As we pursue these efforts, today's discussion will be essential to informing them. Indeed, your perspectives, drawn from the depth of your experiences, are precisely the input that sound policymaking requires. After all, you see the capital markets as they are, rather than how they may appear from within the agency. So, I encourage you all to be candid in your assessments--and creative in your counsel. Our path forward--and the state of the IPO market--will be better for it.
As always, I thank you for your continued service on this Committee. I hope that you enjoy today's meeting. And I look forward to reviewing the insights that certainly will emerge from it. Thank you.
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Original text here: https://www.sec.gov/newsroom/speeches-statements/atkins-042826-remarks-small-business-capital-formation-advisory-committee-meeting
R&R Janitorial Services to Pay $1.25M in EEOC National Origin Discrimination Lawsuit
WASHINGTON, April 29 -- The Equal Employment Opportunity Commission issued the following news release:
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R&R Janitorial Services to Pay $1.25M in EEOC National Origin Discrimination Lawsuit
Resolves suit charging federal contractor with unlawful discrimination based on race and national origin
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R&R Janitorial, Painting, and Building Services, Inc. (R&R), a federal contractor headquartered in Washington providing janitorial services to government agencies, will pay $1,250,000 and provide other equitable relief to settle a national origin and race discrimination lawsuit filed by the U.S.
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WASHINGTON, April 29 -- The Equal Employment Opportunity Commission issued the following news release:
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R&R Janitorial Services to Pay $1.25M in EEOC National Origin Discrimination Lawsuit
Resolves suit charging federal contractor with unlawful discrimination based on race and national origin
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R&R Janitorial, Painting, and Building Services, Inc. (R&R), a federal contractor headquartered in Washington providing janitorial services to government agencies, will pay $1,250,000 and provide other equitable relief to settle a national origin and race discrimination lawsuit filed by the U.S.Equal Employment Opportunity Commission (EEOC), the federal agency announced today.
According to the EEOC's suit, in April 2018, R&R fired a group of Hispanic janitors who worked at the Harry S. Truman building because of their Central American national origins and race. Some of those fired had worked in the building for nearly two decades. The vice president of R&R, who selected employees for terminations, made racially charged remarks shortly before the Hispanic janitors were fired, including commenting that Hispanics were taking over the D.C. area and that "all amigos look alike" to him, as well as forwarding an email that likened immigrants to raccoons needing extermination.
"We are pleased this settlement provides meaningful relief to the hard-working Hispanic employees who were fired," said Debra Lawrence, regional attorney for the EEOC's Philadelphia District Office. "Discrimination based on race or national origin has no place in the American workplace."
Such alleged conduct violates Title VII of the Civil Rights Act of 1964, which prohibits employment discrimination based on race or national origin. The EEOC filed its lawsuit (EEOC v. R&R Janitorial Services, Case No. 1:21-cv-02539) in U.S. District Court for the District of Columbia after first attempting to reach a pre-litigation settlement through its administrative conciliation process.
Mindy E. Weinstein, director of the EEOC's Washington Field Office, said, "The EEOC is committed to ensuring that all workers, regardless of national origin, are protected under the law."
In addition to the $1.25 million in monetary relief, the three-year consent decree resolving the suit enjoins R&R from discriminating based on race or national origin in the future. The decree also requires R&R to train management on compliance with Title VII; train non-supervisory employees on anti-discrimination protections in both English and Spanish; and report to the EEOC on terminations and complaints of race or national origin discrimination.
The EEOC's Philadelphia District Office has jurisdiction over Pennsylvania, Maryland, Delaware, West Virginia, and parts of New Jersey and Ohio. The legal staff of the EEOC also prosecutes discrimination cases in Washington, D.C. and parts of Virginia.
The EEOC is the sole federal agency authorized to investigate and litigate against businesses and other private sector employers for violations of federal laws prohibiting employment discrimination. For public sector employers, the EEOC shares jurisdiction with the Department of Justice's Civil Rights Division. The EEOC also is responsible for coordinating the federal government's employment antidiscrimination effort. More information about the EEOC is available at www.eeoc.gov.
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Original text here: https://www.eeoc.gov/newsroom/rr-janitorial-services-pay-125m-eeoc-national-origin-discrimination-lawsuit
NRC Begins Fast-Track Review to Update AP1000 Reactor Design Using Real-World U.S. Experience
WASHINGTON, April 29 -- The Nuclear Regulatory Commission issued the following news release:
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NRC Begins Fast-Track Review to Update AP1000 Reactor Design Using Real-World U.S. Experience
ROCKVILLE, Md. -- The Nuclear Regulatory Commission has launched a four-month review of an application from Westinghouse Electric Company to update its AP1000 reactor design, marking the first time a certified U.S. reactor design will be revised using actual construction and operating experience.
The agency aims to complete its technical review by Aug. 31, roughly four months after accepting the application.
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WASHINGTON, April 29 -- The Nuclear Regulatory Commission issued the following news release:
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NRC Begins Fast-Track Review to Update AP1000 Reactor Design Using Real-World U.S. Experience
ROCKVILLE, Md. -- The Nuclear Regulatory Commission has launched a four-month review of an application from Westinghouse Electric Company to update its AP1000 reactor design, marking the first time a certified U.S. reactor design will be revised using actual construction and operating experience.
The agency aims to complete its technical review by Aug. 31, roughly four months after accepting the application.The update would align the certified AP1000 design with the as-built configuration of Vogtle Units 3 and 4, which began operating in 2023 and 2024.
"This is the first update of a design certification based on actual construction experience, and we look forward to working with Westinghouse on this project," said Jeremy Bowen, the director of NRC's new Office of Advanced Reactors. "The updated certification could lead to faster licensing approvals, lower regulatory uncertainty and costs, and increased deployment of new nuclear plants to meet rising electricity demand."
During construction of Vogtle Units 3 and 4, several design changes were reviewed and approved by the NRC. Incorporating those changes into the certified design is expected to streamline future applications by allowing developers to reference a design that reflects how the reactors are built and operated. The agency's review timeline is also expected to give potential applicants greater certainty as they consider new projects using the AP1000 design. If approved, the updated certification could help accelerate new nuclear projects. The NRC plans to pursue rulemaking to formally update the AP1000 certification, with opportunities for public comment.
More information about design certification is available on the NRC website.
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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/2026/26-048.pdf
CFTC Announces Director of the Whistleblower Office
WASHINGTON, April 29 -- The Commodity Futures Trading Commission issued the following news release:
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CFTC Announces Director of the Whistleblower Office
The Commodity Futures Trading Commission today announced Raagnee Beri has been named director of the Whistleblower Office.
The CFTC's Whistleblower Program provides monetary incentives to individuals who come forward to report possible violations of the Commodity Exchange Act and provides anti-retaliation protections for whistleblowers.
"The Whistleblower Office plays an important role in supporting the Commission's enforcement program.
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WASHINGTON, April 29 -- The Commodity Futures Trading Commission issued the following news release:
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CFTC Announces Director of the Whistleblower Office
The Commodity Futures Trading Commission today announced Raagnee Beri has been named director of the Whistleblower Office.
The CFTC's Whistleblower Program provides monetary incentives to individuals who come forward to report possible violations of the Commodity Exchange Act and provides anti-retaliation protections for whistleblowers.
"The Whistleblower Office plays an important role in supporting the Commission's enforcement program.Raagnee is the right person to help lead that office and continue to promote its efficacy," said Chairman Michael S. Selig.
"I look forward to Raagnee blending her time as a CFTC enforcement attorney, her experience handling whistleblower appeal litigation, and her deep substantive Commodity Exchange Act expertise as she leads this important office," said General Counsel Tyler Badgley.
Beri steps into the role with extensive CFTC experience first as a trial attorney in the Division of Enforcement and then as a senior assistant general counsel in the Litigation Branch of the Office of the General Counsel. Prior to joining the CFTC, Beri was a trial attorney at the Department of Justice Tax Division. Beri clerked for the Northern District of Indiana and the Superior Court of the District of Columbia following her graduation from the George Washington University School of Law.
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Original text here: https://www.cftc.gov/PressRoom/PressReleases/9222-26
