Cryptocurrency

In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...

Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule

To understand something, you first have to define it. The CFTC’s task at hand in releasing its new 36-page Digital Assets Primer encounters that challenge ...

A CCO at a southern California RIA didn’t revise her COE but did notify staff that cryptocurrencies would be deemed to be currencies under the ...

When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...

SEC Chairman Jay Clayton will call it a career, leaving the Commission by year’s end, the agency confirmed Nov. 16. The move had been expected: As the November ...

If you would like to let the Staff know your views regarding these issues, we are providing an email box as a convenient method for ...

We require our registrants to disclose both the good and the bad news and, in that vein, it is appropriate for me to note that ...

"By failing to challenge ourselves to experiment with new approaches to regulation, we, and those whose interests we are pledged to serve, risk surrendering the ...

"The resulting settlement orders and litigation releases leave the industry to guess at the path to compliance.  Candidly, given the approach we have taken, I ...