What would the SEC making its own rules actually mean?

In an interview on "The Paul Finebaum Show," this week, Greg Sankey floated the idea of the SEC creating its "own set of rules." Todd Kirkland / SEC commissioner Greg Sankey is an institutionalist, ...

America’s top regulators finally come to a consensus on regulation

Two of the most powerful financial regulators in the United States have signed a new agreement aimed at reducing confusion over how cryptocurrencies should be regulated.

SEC's Sankey says language in tampering rules is 'archaic'

SEC commissioner Greg Sankey called NCAA language covering tampering rules "archaic," but stopped short of urging the oversight body to halt tampering investigations, the way the Big Ten did earlier ...
InvestmentNews

Can't we just be friends? SEC, CFTC signal end to long-running turf battle

Officials from the SEC and the CFTC have framed the pact as a significant step towards ending long-standing tensions over ...
Financial Planning

FSI calls on SEC to end 'regulation by enforcement' as agency reopens

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...
JD Supra

SEC Settles Reg BI Case Against California Broker-Dealer

On July 31, 2024, the Securities and Exchange Commission (“SEC”) announced that it agreed to settle allegations that a California-based broker-dealer sold in excess of $13 million in “L bonds,” a ...
InvestmentNews

SEC warns of tougher Reg BI exams next year

The Securities and Exchange Commission warned brokerages Monday to expect tougher examinations for compliance with the new broker investment advice standard. In a statement released Monday by the SEC ...
JD Supra

Regulation CF: An Ultimate Guide to the SEC’s Crowdfunding Regulation

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...
Pensions&Investments

SEC halting ‘regulation by enforcement’ approach to crypto, Commissioner Peirce says

The Securities and Exchange Commission is reversing course on the agency’s previous “regulation by enforcement” approach to cryptocurrency, SEC Commissioner Hester Peirce said March 5. “We are trying ...
The National Law Review

SEC Strengthens Regulation 13D-G Rules for Beneficial Ownership Reporting

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
CNBC

Robinhood says SEC dismissed crypto unit investigation in latest sign of easier regulation for industry

The SEC is dropping its investigation into Robinhood's crypto arm with no intention of moving forward with an enforcement action, the company said Monday. In May 2024, Robinhood received a notice ...