A list of SEC settlement agreement summaries recently published by What’s Market. What’s Market provides a continuously updated database of summaries that helps counsel compare settled SEC enforcement actions using case-specific information... Read more »
The SEC’s Division of Trading and Markets issued a no-action letter providing that staff will not recommend enforcement action against a broker-dealer that does not take a net capital charge under Exchange... Read more »
The SEC voted to approve orders to permit in-kind creation and redemptions by authorized participants for crypto-asset exchange-traded product (ETP) shares. Source link Read more »
In the SEC climate disclosure rules litigation, the SEC filed a status report notifying the 8th Circuit Court of Appeals that it does not intend to reconsider the rules at this time... Read more »
SEC Commissioner Hester Peirce issued a brief statement clarifying that the issuance of securities that are tokenization using blockchain technology are securities subject to the federal securities laws. Source link Read more »
SEC’s Division of Corporation Finance issued a statement on the application of certain disclosure requirements under the federal securities laws to the offering and registration of securities by issuers of crypto-asset exchange... Read more »
A list of SEC settlement agreement summaries recently published by What’s Market. What’s Market provides a continuously updated database of summaries that helps counsel compare settled SEC enforcement actions using case-specific information... Read more »
The SEC’s Division of Trading and Markets and FINRA withdrew their 2019 joint staff statement on broker-dealer custody of digital asset securities, effective immediately. The SEC’s Division of Trading and Markets also... Read more »
The SEC and CFTC further extended the compliance date for amendments to Form PF. The agencies jointly adopted the amendments in February 2024 to enhance private fund reporting, and were originally set... Read more »
The SEC withdrew 14 proposed rules issued between March 2022 and November 2023. The SEC stated it does not intend to issue final rules with respect to these proposals and will issue... Read more »