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Category: SEC Guidance
On February 14, 2023, the SEC proposed significant revisions to the Privacy Act, which governs the handling of personal information within the federal government. These proposed changes aim to streaml....
Private fund investor protection has been a significant topic of discussion in the financial community during the past few years. Now, it appears that the Securities and Exchange Commission (SEC) has ....
There are significant risks related to the clearance and settlement of certain securities. The Securities and Exchange Commission (SEC) has proposed certain rule changes to increase transparency and r....
There has been a significant amount of attention paid to market manipulation and insider trading during the past few years. Now, the SEC is proposing a new rule that targets a lot of these ongoing iss....
Through Rule 144, any small business owner, or investor, can sell their restricted stock, or securities, on the public stock market without registering them with the SEC. This legislation is importan....
FinTech Meetup
On June 11, 2020, the Strategic arm of the SEC for Innovation and Financial Technology (FinHub) announced the launch of virtual peer-to-peer meet-ups (P2Ps), as a solution to its in-pe....
In view of the current pandemic, the Securities and Exchange Commission has published guidelines for all market participants to provide aid with their annual shareholder meetings by encouraging “vir....
The SEC published a Framework for Investment Contract Analysis of Digital Assets on April 3, 2019. The analysis provides guidance for applying the Howey test to digital assets to determine if they ar....
In June of 2018 the Securities and Exchange Commission (SEC) released a draft strategic plan that prioritized investors, innovation, and performance. The plan will guide the SEC’s actions and goals ....
The House of Representatives recently passed H.R. 4263 on March 15, 2018, titled the Regulation A+ Improvement Act. Regulation A+ is comprised of two separate tiers regarding offerings, titled Tier 1 ....
President Trump issued executive order 13,772 on February 3, 2017, which aimed to regulate the U.S. financial system with a set of core principles. In response, the U.S. Department of the Treasury pre....