SEC: Regulators

"Commission staff continue to assess issues related to the treatment of failed trades and clearing agency outages as well as customer protection considerations—issues that market ...

There have been several developments since the Commission last evaluated the scope and sufficiency of these audit trails and related data sources. These developments have ...

The SEC’s policy pronouncement provided important 'clarifications' around arbitrations

Under the conditional exemptive relief, a BD-FCM would be permitted to hold eligible U.S. Treasuries and the customer assets used to margin, secure, or guarantee ...

This notice alerts that B-Ds may include a debit in the customer protection rule reserve computations when depositing cash, U.S. Treasury securities, and/or qualified customer ...

"Crypto is forcing the Commission to confront its inner demons that have driven it toward ever more expansive readings of the securities laws"

The guidance recommends B-Ds set up compliance P&Ps related to "the operation of the Covered User Interface" as well as to maintain relevant books and ...

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 ...