On March 18, 2024, the Securities and Exchange Commission (SEC or the Commission) announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc., for making false and misleading...more
Decentralized Finance (DeFi) is an umbrella term used to describe financial services provided outside of the traditional markets, that rely on blockchain technologies to create innovative products instead of relying on...more
2/9/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Blockchain ,
Broker-Dealer ,
CFTC ,
Commercial Insurance Policies ,
Cryptoassets ,
Decentralized Finance (DeFi) ,
Financial Services Industry ,
FinCEN ,
FinTech ,
IRS ,
Jurisdiction ,
Money Services Business ,
Proposed Regulation ,
Regulatory Agenda ,
Rulemaking Process ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Terrorist Financing Regulations ,
U.S. Treasury
On February 15, 2023, the Securities and Exchange Commission (SEC or the Commission) voted to adopt rule changes to shorten the standard settlement cycle for broker-dealer transactions in securities from two business days...more
One of the world’s largest cryptocurrency exchanges - FTX Trading Ltd. - and many of its affiliates filed for bankruptcy earlier this month. While the full impact of the FTX bankruptcy is not yet clear, various responses from...more
12/1/2022
/ Biden Administration ,
CFTC ,
Chapter 11 ,
Commercial Bankruptcy ,
Corporate Counsel ,
Crypto Exchanges ,
Cryptocurrency ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Financial Stability Board ,
G20 ,
Market Participants ,
Regulatory Agenda ,
Regulatory Authority ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC)
On October 12, 2022, the Securities and Exchange Commission (SEC or Commission) voted to adopt amendments to the electronic recordkeeping requirements for broker-dealers and security-based swap dealers contained in Rules...more