Eleven spot bitcoin-based exchange-traded products (ETPs) were finally approved by the Securities and Exchange Commission (SEC) on January 10, 2024, after multiple such ETPs had been rejected by the SEC over the last ten...more
SEC/CORPORATE -
SEC Adopts Amendments To Simplify and Update Certain Disclosure Requirements -
On August 17, the Securities and Exchange Commission announced the adoption of proposed rule amendments (Amendments) to...more
8/27/2018
/ Amended Regulation ,
Bitcoin ,
Chief Compliance Officers ,
Compliance ,
Disclosure Requirements ,
Exchange-Traded Products ,
MLD4 ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Third Country Entities (TCEs) ,
UK Brexit
BROKER-DEALER -
SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items -
On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more
4/11/2016
/ CFTC ,
Corporate Governance ,
EU ,
Exchange-Traded Products ,
FDIC ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Guidance Update ,
MiFIR ,
Natural Gas ,
Remuneration ,
Swaps ,
UCITS V
In This Issue:
- SEC Denies Motion to Stay Regulation A+
- SEC Requests Public Comment on ETPs
- CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs
- Eleventh Circuit Upholds...more
6/22/2015
/ Alternative Investment Funds ,
AMF ,
Banking Sector ,
Broker-Dealer ,
Brokers ,
CFTC ,
Commodities ,
Corporate Governance ,
Exchange-Traded Products ,
FDIC ,
Food Commodities ,
Insider Trading ,
Mortgage Lenders ,
Mortgages ,
OCC ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Wire Fraud