The current SEC administration has expressed the view that most crypto assets are offered and sold as securities and has proposed several rules that address “digital asset securities” or “crypto asset securities.” In this...more
3/18/2024
/ Alternative Trading System (ATS) ,
Best Execution ,
Broker-Dealer ,
Cryptoassets ,
Custody Rule ,
Decentralized Finance (DeFi) ,
Market Participants ,
Proposed Rules ,
Regulatory Agenda ,
Safeguards Rule ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Dealers ,
Securities Exchange Act
On February 6, 2024, by a vote of 3-2 along party lines, the Securities and Exchange Commission (the SEC or the Commission) adopted Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Exchange Act), which...more
2/27/2024
/ Dealers ,
Government Securities ,
Liquidity ,
Market Participants ,
New Rules ,
Registered Investment Companies (RICs) ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Dealers ,
Securities Exchange Act ,
Securities Traders
On December 13, 2023, the Securities and Exchange Commission (SEC) voted (4-1) to adopt new requirements under the Securities Exchange Act of 1934 (Exchange Act), which will restructure the clearance and settlement of...more
1/2/2024
/ Amended Rules ,
CFTC ,
Clearing Agencies ,
Futures Commission Merchants (FCMs) ,
Hedge Funds ,
New Regulations ,
Policies and Procedures ,
Repurchase Agreements ,
Repurchases ,
Secondary Markets ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Settlement ,
Treasury Markets
On July 26, 2023, the Securities and Exchange Commission (SEC or Commission) narrowly approved (3-2) a proposed rulemaking under the Securities Exchange Act of 1934 (Exchange Act) and the Investment Advisers Act of 1940...more
8/18/2023
/ Analytics ,
Broker-Dealer ,
Conflicts of Interest ,
Electronic Communications ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Predictive Analytics ,
Proposed Regulation ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On March 28, 2022, the Securities and Exchange Commission (SEC) proposed new Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (Exchange Act) (collectively, the Proposed Rules). The Proposed Rules seek to...more