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Investment Adviser Alternative Trading System (ATS)

Goodwin

SEC Examinations Division Publishes 2022 Priorities

Goodwin on

The SEC Division of Examinations recently published its list of priorities for 2022. While it was a bit late compared to a typical year, the priorities letter provides a roadmap for firms to better understand where the...more

Holland & Knight LLP

SEC to Keep Watchful Eye on Digital Asset Trading Platforms - Commission's Focus on Securities Exchange Laws, Reg ATS and Expanded...

Holland & Knight LLP on

In July 2017, the SEC issued its landmark DAO Report, which clarified, among other things, its view that digital tokens with characteristics akin to those of an "investment contract" as established in SEC v. W.J. Howey Co....more

BCLP

SEC’s Gensler: Major Cybersecurity Regulatory Changes On the Horizon

BCLP on

A significant expansion of rules relating to cybersecurity risks - particularly for the financial sector - is under consideration by the Securities and Exchange Commission (SEC). In public remarks last week, SEC Chair...more

Jones Day

SEC's Division of Examinations Reiterates Focus on Digital Asset Securities

Jones Day on

On February 26, 2021, the SEC's Division of Examinations released a Risk Alert to make digital asset market participants aware of recurring issues that have arisen in the course of recent examinations, and provide notice of...more

Proskauer - The Capital Commitment

SEC Extends Registration Requirements for Investment Companies and Broker Dealers to ICO/Crypto Firms

Fund managers take note – after over a year of warning, this month the SEC announced a pair of settlement orders with respect to registration requirements for a fund and broker dealer operating in the crypto and digital...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2015 #4

Deputy US Attorney General and SEC Enforcement Head Warn Corporate Individual Wrongdoers to Beware - Deputy US Attorney General Sally Quillian Yates provided further insight into the Department of Justice’s new emphasis...more

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