SEC: Regulators

The DAO is one example of a Decentralized Autonomous Organization, which is a term used to describe a “virtual” organization embodied in computer code and ...

Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...

Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approved an amendment ...

Two new releases from the SEC’s Division of Investment Management add clarity to two issues that may affect you.   1. Foreign affiliates that fall ...

If the new guidance from the SEC’s Division of Investment Management on what constitutes custody deprives the industry of an outright victory, it at least ...

the Staff believes that, depending on their business models and operations, robo-advisers should keep in mind certain unique considerations as they seek to meet their ...

The SEC’s Director of the Office of Compliance Inspections and Examinations Marc Wyatt will be leaving the agency next month. Wyatt, whose tenure has been ...

To give the agency more time to sift through comments about its security-based swap data repository registration rules, the SEC has extended the industry’s compliance ...

The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including ...

You’ve been put on notice: The SEC will soon hike to $2.1 million the net worth test defining a “qualified client.” This is important should ...