
A sourced digest of fifteen SEC, FDA and FTC actions from September 15–21, 2026, with the parties, the procedural status, the money at issue, and the dates to calendar.
| Agency | Development | Status or amount | Next action |
|---|---|---|---|
| SEC | "Innovation Exemption" for tokenized NMS stock on Tokenized Securities Venues | Order issued Sept. 17; conditional and temporary; expires five years after publication; comment open | Decide whether to operate or trade on a tokenized securities venue. 1 |
| SEC | Rescission of Rule 14a-8 and modernization of proxy solicitation | Two proposing releases issued Sept. 16; comment runs 60 days from Federal Register publication | Map the effect on the coming proxy season. 2 |
| SEC | Jon P. Kipp, former Funko shareholder | Settled action filed Sept. 14; $1,073,009.73 in disgorgement, interest and penalty; judgment subject to court approval | Review trading restrictions covering former insiders and long-time associates. 3 |
| SEC | Jessica Richman and Zachary Apte, co-founders of uBiome | Proposed consent judgments filed Sept. 14; $125,000 each plus three-year officer-and-director bars; subject to court approval | Re-examine diligence on private-company reimbursement claims. 4 |
| SEC | Ellen Polcari, former employee of two venture capital firms | Complaint filed Sept. 18; $28.67 million raised from at least 85 investors, $1.28 million allegedly misappropriated; relief sought | Test wire-instruction verification at the fund level. 5 |
| FDA | Fayuvi (rebisufligene etisparvovec-hopf), Ultragenyx | Approved Sept. 17; first therapy for Sanfilippo syndrome type A | Build AAV9 infusion and corticosteroid protocols before first referrals. 6 |
| FDA | Expedited IND Pilot | Final design announced Sept. 15; applications accepted through Oct. 30, 2026 | Decide whether to apply as a sponsor–qualified research institution pair. 7 |
| FDA | Imlunestrant (Inluriyo) with abemaciclib (Verzenio), Eli Lilly | Approved Sept. 18 for ESR1-mutated advanced or metastatic breast cancer | Confirm companion diagnostic access and prior-authorization language. 8 |
| FDA | Aqneursa (levacetylleucine), IntraBio | Approved Sept. 18; first treatment for ataxia in ataxia-telangiectasia | Route this through rare-disease formulary review. 9 |
| FDA | Bausch & Lomb, Tampa sterile drug site | Warning letter issued Sept. 4, posted Sept. 15; aseptic-processing violations | Reassess environmental monitoring, personnel monitoring and smoke studies. 10 |
| FDA | H2 BEV and H2 RENU, Plano, Texas | Warning letter issued July 31, posted Sept. 15; acidified-food violations and unapproved drug claims | Register the facility, file scheduled processes, and pull disease claims from labeling. 11 |
| FTC | FleetCor Technologies (now Corpay) and CEO Ronald Clarke | $100 million consent agreement announced Sept. 17; comment runs 30 days from Federal Register publication | Review fee disclosure and consent capture in billing flows. 12 |
| FTC | Amway, World Wide Group and Leadership Team Development | $225 million proposed order filed Sept. 17 with the State of Washington | Direct-selling clients: review earnings claims and inventory-loading terms. 13 |
| FTC | Beretta Holding and Sturm, Ruger | Consent order accepted for comment Sept. 16 over a Clayton Act Section 8 interlock | Audit board seats held across competing portfolio companies. 14 |
| FTC | Price transparency FAQs for auto dealers | Published Sept. 15 | Align advertised prices with what a walk-in customer actually pays. 15 |
| Date | Matter | What to do |
|---|---|---|
| September 25, 2026 | FTC proposed enforcement policy statement on personalized pricing | Submit comments through the notice published in the Federal Register. 35 |
| October 1, 2026 | Automatic Amazon Prime redress payments begin | Payments arrive automatically; prepare client-facing guidance, because any outreach claiming to come from the FTC is a scam. 36 |
| October 30, 2026 | FDA Expedited IND Pilot application window closes | Sponsors and qualified research institutions apply as a pair. 24 |
| November 3, 2026 | SEC transfer agent modernization rules, File No. S7-2026-30 | File comments on proposed safeguarding standards and electronic recordkeeping. 37 |
| 60 days from Federal Register publication, expected in late November | SEC proposals to rescind Rule 14a-8 and modernize proxy solicitation, Release Nos. 34-106383 and 33-11439 | Publication had yet to be recorded as of September 21; watch the Federal Register for the clock to start. 2 |
| 30 days from Federal Register publication, date yet to be set | FTC consent agreement with FleetCor and Ronald Clarke | The description of the consent agreement had yet to appear in the Federal Register as of September 21. 12 |
| 30 days from the docket opening on September 16, 2026 | FTC consent order in the Beretta and Ruger matter | File any comments on the consent agreement package through the docket on Regulations.gov. 14 |
federalregister.gov
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