The SEC has adopted rule amendments to simplify disclosure requirements consistent with its mandate under the Fixing America’s Surface Transportation (FAST) Act. ...more
5/1/2019
/ Amended Rules ,
Corporate Governance ,
Disclosure Requirements ,
EDGAR ,
Emerging Growth Companies ,
Filing Requirements ,
Financial Regulatory Reform ,
Financial Statements ,
Fixing America’s Surface Transportation Act (FAST Act) ,
MD&A Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Regulatory Agenda ,
Regulatory Burden ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
In a no-action letter (the Relief) issued on Oct. 12, 2018, to the Independent Directors Council, the Securities and Exchange Commission staff (the Staff) confirmed that they would not recommend enforcement if a fund’s board...more
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently released their respective 2018 examination priorities, providing a glimpse into their plans for the year to...more
3/2/2018
/ Anti-Money Laundering ,
Capital Raising ,
Cryptocurrency ,
Customer Due Diligence (CDD) ,
Digital Currency ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment Funds ,
OCIE ,
Popular ,
Regulatory Agenda ,
Regulatory Oversight ,
SEC Examination Priorities ,
Secondary Markets ,
Securities and Exchange Commission (SEC) ,
Token Sales ,
Virtual Currency
On Feb. 6, Jay Clayton and Christopher Giancarlo, the chairmen of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), respectively, jointly testified before the Senate Banking...more
3/1/2018
/ Bitcoin ,
Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Currency ,
Distributed Ledger Technology (DLT) ,
ETFs ,
Financial Markets ,
Initial Coin Offering (ICOs) ,
Investment ,
Regulatory Oversight ,
Risk Management ,
Token Sales ,
Trading Platforms ,
Virtual Currency