SEC: Regulators

Sometimes compliance just can’t win

The world is getting smaller and it seems the SEC’s inclined to see registered investment advisers in the same way

"We have also begun to chart a path of compliance for entrepreneurs who seek to understand when the fundraise for a crypto asset implicates the ...

Private funds have had to report their sensitive data to the SEC on Form PF for 14 years now, but the reports may attract extra ...

"Advancing new regulatory frameworks means choosing a different approach. It means crafting rules that are clear enough to guide markets, flexible enough to accommodate innovation, ...

"It is not the government’s role to impose its judgment as to what opportunities investors may pursue, particularly when these choices are often being made ...

The new FAQ was added to 15 others relating to crypto asset activities and distributed ledger technology that the Trading and Markets division has posted ...

"Our interpretation—grounded in existing law and informed by extensive public input—establishes four asset categories that are not deemed securities: digital commodities, digital collectibles, digital tools, and payment ...

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...

The SEC issues its first four FAQs related to fund of funds