GRIP2 min read
GRIP2 min read
Julie DiMauro53 min listen
SEC Rule 17a-1
The documents to be kept and preserved include all
The documents must be retained for a period of at least five years. They must remain easily asscessible for the first two years.
When requested they must be promptly furnished to the SEC.
Other news includes the SEC ceasing its defenses of its climate disclosure rule, Fidelity launching its own stablecoin, and UBS limiting its size to skirt capital requirements.
GRIP2 min read
We explored how small and mid-sized pharmaceutical and biotech companies can avoid costly early compliance mistakes and minimize risk as they scale.
Alexander Barzacanos7 min read
The panel tackled such issues as whether crypto tokens require a new, separate regulatory framework.
Julie DiMauro2 min read
SEC staff issued a statement to say that proof-of-work mining does not involve the offer and sale of securities; Commissioner Crenshaw downplays the impact.
Julie DiMauro2 min read
Other news includes Chat GPT hallucinates murder, DOGE access to social security data blocked and Tornado Cash no longer sanctioned.
GRIP2 min read
Acting Chair described 2025 as a year of “tremendous potential” in address to ICI Management Conference.
Alexander Barzacanos1 min read
Modification allows for compliance based on timing of annual fund disclosure and reporting obligations tied to fund’s fiscal year-end.
Julie DiMauro1 min read
Other news includes a $1b Salesforce investment in Singapore, the EU removing four Russian from sanctions list due to Hungarian pressure, and French publishers suing Meta over AI models.
GRIP2 min read