The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments would increase the frequency with which...more
On March 10, 2023, volatility resulting from concerns regarding runs on certain banks triggered trading halts in those banks’ stocks on the New York Stock Exchange (NYSE) and Nasdaq. March 13, 2023, saw additional trading...more
3/15/2023
/ Banking Sector ,
Banks ,
Broker-Dealer ,
Capital Markets ,
Commodities ,
Financial Crisis ,
Financial Institutions ,
Investment ,
Investment Adviser ,
Nasdaq ,
NYSE ,
Securities Exchange Act ,
Short Sales ,
Short Selling ,
Stock Exchange ,
Stocks
The Digital Asset SEC Timeline serves as an interactive compilation of select SEC guidance, enforcement actions, and speeches relating to the application of the federal securities laws to digital assets. Beginning with the...more
3/15/2023
/ Blockchain ,
Cryptocurrency ,
Decentralized Autonomous Organization (DAO) ,
Digital Assets ,
Enforcement Actions ,
Insider Trading ,
Investigations ,
Investment ,
Securities ,
Securities and Exchange Commission (SEC) ,
Token Sales ,
Virtual Currency