Tagged: sec

March 14, 2026 @ 12:32 pm By Omar Faridi  |  

On March 5, 2026, Senator Elizabeth Warren sharply rebuked the Securities and Exchange Commission (SEC) following its agreement to wind down enforcement actions against cryptocurrency entrepreneur Justin Sun and several entities linked to the Tron blockchain. As the ranking Democrat on the Senate Banking Committee,… Read More

March 13, 2026 @ 10:21 am By JD Alois  |  

The Securities and Exchange Commission (SEC) is working on a limited exemption for the trading of tokenized securities. Tokenized securities, or digital securities, have been in the mix for years now mostly in private markets. By leveraging blockchain technology, activities and actions can be automated… Read More

March 6, 2026 @ 8:35 am By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has reached a resolution in its long-running case against cryptocurrency entrepreneur Justin Sun, permanently dropping all claims against him and the Tron Foundation. As part of the agreement, Rainberry Inc.—the company responsible for developing the BitTorrent platform and… Read More

March 2, 2026 @ 1:38 pm By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) is actively pursuing a renewed focus on cryptocurrency oversight, aiming to recapture the initiative lost during the previous administration’s tenure.  SEC Chairman Paul Atkins recently highlighted this shift, describing the prior era as a significant oversight failure that… Read More

February 24, 2026 @ 10:32 am By JD Alois  |  

The Securities and Exchange Commission (SEC) Crypto Task Force has selected a new Chief Counsel, Taylor Lindman. Lindman takes over from Chris Selig, who recently became the Chairman of the Commodity Futures Trading Commission (CFTC). Lindman previously worked at Chainlink Labs and, prior to that, at several top law firms,… Read More

February 23, 2026 @ 1:18 pm By JD Alois  |  

The Securities and Exchange Commission has scheduled a Private Markets Roundtable to discuss the retailization of private markets. Currently, non-accredited investors may participate in the private securities markets largely via Reg A and Reg CF. While there are certain situations in which a non-accredited individual… Read More

February 23, 2026 @ 9:56 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has updated Compliance and Disclosure Interpretations (C&DIs) that impact Regulation A (Reg A). The update occurred last week (February 17, 2026) and is part of the SEC’s periodic process. These C&DIs serve as an interpretive resource for exempt securities… Read More

February 23, 2026 @ 9:17 am By Michael Wong  |  

The Securities and Exchange Commission’s Division of Corporation Finance issued revised staff interpretations on Regulation Crowdfunding (Reg CF), offering new guidance on how issuers can switch intermediary platforms, calculate fundraising caps, and comply with filing obligations for longer-running offerings. Reg CF was part of the… Read More

February 20, 2026 @ 10:16 am By JD Alois  |  

Yesterday, the Securities and Exchange Commission (SEC), Division of Trading and Markets, updated an FAQ on “crypto asset activities.” The SEC is working through changing rules to accommodate digital assets and the ongoing transition to tokenization and more. After four years of active subversion during… Read More

February 19, 2026 @ 9:38 am By JD Alois  |  

Disclosure is at the heart of the US securities regulatory regime. Providing salient information to investors is key to ensuring decisions are based on recent, accurate data. Yet, over the years, the number of rules and compliance requirements has expanded, adding high cost to the… Read More

February 16, 2026 @ 4:21 am By Tony Zerucha  |  

Truth Social Funds announced this week that it has filed a registration statement with the U.S. Securities and Exchange Commission (SEC) for two exchange-traded funds: the Truth Social Cronos Yield Maximizer ETF and the Truth Social Bitcoin and Ether ETF. In connection with the proposed… Read More

February 11, 2026 @ 11:52 am By JD Alois  |  

While the US financial markets are the deepest and most efficient in the world, there is always room for improvement. Public markets have been in decline for many years. Meanwhile, private markets have grown dramatically, which is good for many, but too often, retail investors… Read More

February 9, 2026 @ 11:43 am By JD Alois  |  

SEC Chairman Paul Atkins is scheduled to testify in front of the House Financial Services Committee and the Senate Banking Committee later this week. As Congress holds oversight on the SEC, these are standard hearings. This will be Chairman Atkins’s first appearance before the two… Read More

February 8, 2026 @ 2:30 pm By Nick Morgan  |  

In the latest Capital Ideas episode, hosts Nick Morgan, Dara Albright, and Mark Hiraide of the Investor Choice Advocates Network (ICAN) sat down with Cliff Winston, a non-resident senior fellow at the Brookings Institution, to discuss his recent book, Market Corrections, Not Government Interventions: A… Read More

February 5, 2026 @ 9:08 am By JD Alois  |  

The SEC Small Business Capital Formation Advisory Committee (SBCFAC) will gather on February 24, 2026, to discuss two important items related to private markets. One reason the US has the world’s most robust innovation ecosystems is the success of private markets, where early-stage firms can… Read More

February 2, 2026 @ 12:34 pm By JD Alois  |  

Sherwood Neiss, founder of Crowdfund Capital Advisors (CCA), has submitted a statement to the Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee (SBCFAC) advocating for improvements to secondary markets for crowdfunded securities. At the same time, Neiss has sent a letter to the House Committee on Financial Services,… Read More

January 28, 2026 @ 8:21 pm By JD Alois  |  

Tokenization, tokenized securities, or digital securities are the future. This much is clear. But questions remain as regulators and industry participants work through the new process of issuing, managing, and trading securities using blockchain technology. Today, the Securities and Exchange Commission (SEC) issued a statement… Read More

January 27, 2026 @ 8:50 am By Tony Zerucha  |  

F/m Investments has filed an exemptive application with the U.S. Securities and Exchange Commission seeking permission to record ownership of tokenized shares in the F/m US Treasury 3 Month Bill ETF (TBIL) on a permissioned blockchain ledger. The application is believed to be the first… Read More

January 26, 2026 @ 1:20 pm By JD Alois  |  

The Securities and Exchange Commission and Commodity Futures Trading Commission joint event has been rescheduled to take place this Thursday, January 29th. The event was originally scheduled for January 27th. The gathering is part of embracing the digital asset ecosystem and the changing regulatory environment…. Read More

January 25, 2026 @ 8:47 pm By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has agreed to permanently drop its legal action against Gemini Trust Company (NASDAQ:GEMI) regarding the Gemini Earn program. This resolution comes after all affected investors received full restitution of their assets, marking the conclusion of a protracted regulatory… Read More