Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
3/7/2025
/ Blockchain ,
Broker-Dealer ,
Corporate Financing ,
Corporate Governance ,
Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement Actions ,
FinTech ,
Investment ,
Investment Adviser ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC)
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
2/11/2025
/ Anti-Money Laundering ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Legislative Agendas ,
Regulatory Agenda ,
Regulatory Oversight ,
Regulatory Reform ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Trump Administration
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more
11/12/2024
/ Broker-Dealer ,
Digital Assets ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Investment ,
Investment Adviser ,
NASAA ,
NYSE ,
Regulatory Agenda ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Technology Sector