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Securities and Exchange Commission (SEC) › Consolidated Audit Trail › Cryptocurrency

Proskauer - Regulatory & Compliance

The SEC Under Paul Atkins – What to Expect for Registered and Private Offerings, Climate-Related Disclosure, Consolidated Audit...

Proskauer - Regulatory & Compliance on

Paul Atkins, who has been nominated by President Trump to serve as Chairperson of the Securities & Exchange Commission, last week completed a short confirmation hearing before the U.S. Senate Banking Committee. Despite its...more

Latham & Watkins LLP

It’s Time to Bring Assets Onchain

Latham & Watkins LLP on

In an opinion post for a16z crypto, Latham lawyer Jenny Cieplak calls for a new regulatory approach for tokenized securities. A significant number of projects over the past several years have “tokenized” so-called real...more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - September 2023

Davis Wright Tremaine LLP on

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

Faegre Drinker Biddle & Reath LLP

New Year’s Priorities: FINRA Releases its 2023 Report on its Examination and Risk Monitoring Program

Faegre Drinker Biddle & Reath LLP on

Yes, (somehow) it is that time of year again. FINRA recently released its 2023 Report on its Examination and Risk Monitoring Program (the “Report”). As is typical (and this blog has well-covered), it contains a mix of old and...more

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