SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
1/30/2026
/ Blockchain ,
Digital Assets ,
Digital Securities ,
Distributed Ledger Technology (DLT) ,
New Guidance ,
Regulatory Requirements ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Security Token Offering (STOs) ,
Tokenization
SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
12/12/2025
/ Anti-Money Laundering ,
Artificial Intelligence ,
Cryptoassets ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Market Manipulation ,
Popular ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
The GENIUS Act ,
Third-Party Service Provider
SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
11/24/2025
/ Blockchain ,
Broker-Dealer ,
CFTC ,
Cryptocurrency ,
Designated Contract Markets (DCMs) ,
Digital Assets ,
Enforcement Actions ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
Futures Commission Merchants (FCMs) ,
Investment ,
Proposed Legislation ,
Regulatory Agenda ,
Regulatory Requirements ,
Stablecoins
SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
11/21/2025
/ Broker-Dealer ,
Cybersecurity ,
Digital Assets ,
Enforcement Priorities ,
Financial Services Industry ,
FinTech ,
Investment Adviser ,
Investment Products ,
Regulatory Oversight ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
The Senate has introduced the Streamlining Transaction Reporting and Ensuring Anti-Money Laundering Improvements for a New Era Act, or the STREAMLINE Act, an initiative led by Senate Banking Committee Chairman Tim Scott and...more
The U.S. Department of Commerce initiated an investigation into how wind turbines and related components may impact U.S. national security on Aug. 13, 2025, according to an Aug. 21, 2025, notice sent to the Federal Register....more
In a move to balance regulatory efficiency and cost, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) officially announced on July 21, 2025, that it will postpone the effective date, from...more
On May 28, 2025, the U.S. Court of International Trade declared key tariffs implemented by the Trump administration under the International Emergency Economic Powers Act (IEEPA) unconstitutional. The ruling directly impacts...more
The United States and the Republic of China announced a significant step toward easing longstanding trade tensions, with both nations agreeing to lower a series of tariffs imposed during the ongoing trade dispute. The...more
The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more