SEC Rule 10b-5

Speakers tackled emerging developments in crypto, AI, prediction markets and other critical regulatory topics shaping financial services entities.

Our in-brief roundup of notable stories from the last week.

Amendments show convergence between state and federal approaches, while preserving state-level oversight intended to mitigate retail investor harm.

The proposal is the biggest reformulation of reporting rules in decades.

The SEC continues to bring parallel civil actions alongside criminal cases, increasing both financial and personal liability risk for advisers.

The settlement is a lukewarm end to a case in which the SEC alleged Musk avoided paying about $150m.

The compromise would allow transaction-based incentives similar to credit card rewards.

An SEC action against RYVYL, Inc, underscores how overstated claims about blockchain capabilities, coupled with omitted risk disclosures, can translate into antifraud liability even when wrapped in the language of innovation.