The CFTC And Cryptocurrencies
The SEC and U.S. Commodity Futures Trading Commission (CFTC) have been actively policing the crypto or virtual currency space. Both...
Home Archive by Category "SEC" (Page 5)
The New Auditor Report
In October 2017, the SEC approved a new rule by the Public Company Accounting Oversight Board (PCAOB) requiring significant changes...
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The SEC And CFTC Joint Statements On Cryptocurrencies; Global Regulators Join In
On January 19, 2018 and again on January 25, 2018, the SEC and CFTC divisions of enforcement issued joint statements regarding crypt...
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SEC Issues C&DI On Use Of Non-GAAP Measures
On October 17, 2017, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP fi...
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Multiple Changes To Private Offering Compliance And Disclosure Interpretations (C&DI)
The SEC has been fine-tuning its Compliance and Disclosure Interpretations (C&DI), making multiple amendments, additions and del...
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SEC and NASAA Statements on ICOs and More Enforcement Proceedings
The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl...
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The SEC’s 2017 Enforcement Priorities And Results
No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement...
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The Investment Adviser Advertising Rule
On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f...
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SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting
On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting...
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SEC Publishes Report on Access to Capital and Market Liquidity
On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec...
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