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...
Home Posts Tagged "sec" (Page 2)
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...
0
718
0
0
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...
0
418
0
0
SEC Monitors Impact of Hurricanes On Capital Markets
As I wrote this blog I continued to have no power at my home after one week, though thankfully it has returned by publication date....
0
305
0
0
SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
0
476
0
0
FINRA Proposes New Registration And Examination Rules
On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg...
0
694
0
0
SEC Issues Final Rules Requiring Links To Exhibits
On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th...
0
354
0
0
The SEC Has Issued New Guidance Related To Foreign Private Issuers
On December 8, 2016, the SEC issued 35 new compliance and disclosure interpretations (C&DI) including five related to the use of...
0
1K
0
0
The SEC Has Proposed The Use Of Universal Proxy Cards
The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of...
0
354
0
0
SEC Issues White Paper On Penny Stock Risks
On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, a...
0
450
0
0