Treasury is seeking public on potential regulations that may add regulatory clarity around innovation in payment with stablecoins
This SEC statement concerns requests to accelerate the effective date of registration statements filed by issuers with a mandatory arbitration provision for investor claims
"The inherent lack of daily market prices for many private market assets raises the need for the Commission to establish standards for an impartial party ...
SEC staff will not recommend enforcement action if a FINRA member relies on CRD to satisfy its record retention requirements under Rule 17a-4 for Form ...
The client engaged the RIA in 2007 as her investment adviser. At about this time, James Warring’s relationship with the client became more personal and, ...
"In the period since the Commission adopted the rule amendments [in 2024], industry representatives and market participants have expressed concerns"
Meridian failed to conduct an annual review of the adequacy of its compliance P&Ps and the effectiveness of their implementation, nor did it comply with ...
This joint statement provides the Divisions’ view that current law does not prohibit SEC- or CFTC-registered exchanges from facilitating trading of these spot crypto asset ...
Although the adviser's policy required it to identify and disclose conflicts of interest, it lacked any written P&Ps to ensure that conflicts of interest around ...
Remedial actions taken by the firms include the hiring of new compliance professionals at senior levels with extensive broker-dealer and investment adviser experience