SEC Actions

This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025

A 'foreign issuer' is any issuer which is a foreign government, a national of any foreign country, or a corporation or other organization incorporated or ...

"The Custodian simply is acting as an agent in connection with staking the deposited Covered Crypto Assets on behalf of the owner"

The relief hinges on the securitization participant maintaining written policies and procedures designed to meet four conditions

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

Statement on Certain Form N-PORT Data Office of Public Affairs May 14, 2025 The staff of the Securities and Exchange Commission has determined that certain ...

This is the revised Form PF as of May 2025

The adviser did not adequately disclose all material facts regarding the conflicts of interest that arose when employer plan participants considered rolling over their assets ...

The prior SEC statement on complying with the Commission's security-based swap data repository rules, due to expire next month, has been extended until Nov. 5, ...

This report shows that Reg D filings have dropped annually since their peak in 2021