"Today marks the end of an unnecessary, but consequential, saga"
An "analysis of 157 crypto exchanges found that 51% of the reported daily bitcoin trading volume was likely bogus"
The "flawed reasoning in the Approval Order could reverberate for years to come"
These new FAQs were released in December 2023
The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...
RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings
A peek at the year ahead, compliance resolutions from your peers, SEC responds to PF rule lawsuit and much more
Given that 2024 is a presidential election year, the smart money sides with the SEC backing off a bit from its aggressive rulemaking, exam and ...
In a phrase, 2024 looks to be another busy year for CCOs