SEC Rule 17a-1
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Second SEC roundtable explores regulatory pathways for crypto trading
The SEC gathered industry leaders to discuss how crypto trading platforms might fit within, or reshape, the existing US regulatory framework.
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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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16 firms rebuffed by SEC in bid to revisit off-channel comms settlements
SEC says 'no-can-do to' the 16 financial firms that submitted a motion to have their recordkeeping settlements modified.
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Pharma watch: Delayed vaccine decisions, insulin price lawsuit, drug cap win
Updates on US pharmaceutical policy, compliance, and regulation.
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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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Crypto wrap: Trump erases IRS rule, Tether's stablecoin, plus new EU rules
Latest news and developments from the world of crypto.
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SEC Acting Chair Mark Uyeda on priorities with state security regulators
Uyeda addressed federal preemption issues and the division of jurisdiction between the SEC and states.
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GRIP Extra: DHS investigates ex-CISA director Krebs, Atkins in as SEC chair
Other news includes a whistleblower testifying that Facebook was working with CCP on censorship, Treasury announcing the rollback of 15 rules and guidance statements, and the publication of several ESMA documents.