For years, some on the SEC Commission have called for opening up private fund investing to non-accredited investors. With a new administration in office, the ...

Set minimum and maximum G&E amounts in your software system. Anything over a threshold must be approved by compliance

The staff of the Division of Trading and Markets releases these frequently asked questions relating to crypto assets and distributed ledger technology

"These FAQs address staff’s views about whether and how broker-dealer custody and capital rules apply to crypto assets, including in the context of in-kind creations ...

"Private equity investments by individual investors perform similarly to those of institutions and outperform public markets"

Guidance on handling gifts and entertainment, possible movement on the accredited investor standard, carried interest appears safe for now, and much more

Third-party risk was the single most clicked on topic in the 2025 FINTA Annual Regulatory Oversight Report

FINRA is looking for the sharing of up-to-date information related to firms critical third-party vendors

Denial of petition leads FINRA to consult with the SEC to modify the collateral consequences that came with pre-2025 OCC settlements

SIFMA comment letter focuses primarily on securities status; custody; and tokenization