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SEC Rule 17a-1
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SEC issues statement on crypto asset exchange-traded products
SEC's observations regarding disclosure practices following reviews of crypto asset ETP filings.
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SEC roundtable discusses executive comp disclosure requirements
At the event, speakers addressed the complexity and cost of regulations, plus the significance of disclosure to investor protection.
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Senate Banking Committee offers up crypto market structure principles
Former CFTC Chair Behnam encouraged committee to support the expansion of the CFTC and SEC's mandate over the crypto market.
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Brite Advisors USA breached core safeguards in cross-border asset management
SEC’s case highlights how undisclosed conflicts and custody rule violations put client assets at risk.
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Some foreign firms could face tougher access to US markets
The SEC said it welcomes comment on the burdens or benefits that may result from the possible regulatory responses noted in its release.
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OPINION: SEC scraps 14 rule proposals, but don't be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn't necessarily equate to "a hands off regulator."
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SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.
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The SEC’s fifth crypto roundtable – defining the future of DeFi
Participants debated various regulatory visions in this final session – plus the series in summation.