Archives

June 3, 2026 @ 12:33 pm By JD Alois  |  

The US House of Representatives Committee on Financial Services has sent a letter to President Donald Trump requesting the termination of conflict mineral disclosure requirements, as they threaten US strategic interests and create unintended humanitarian harm. The Dodd-Frank Wall Street Reform and Consumer Protection Act,… Read More

June 1, 2026 @ 11:26 am By JD Alois  |  

The Securities and Exchange Commission (SEC), during the Biden Administration, sought to add “climate disclosure” to the growing list of compliance demands for public companies. This obtuse policy was derided by some as turning the SEC into the Securities and Environment Commission. Climate Disclosure, falling under the… Read More

June 1, 2026 @ 6:04 am By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has taken legal action against Nathan Fuller, a resident of Cypress, Texas, accusing him of masterminding a significant cryptocurrency fraud that defrauded approximately 150 investors of around $12.3 million. The SEC has filed its complaint on May 28,… Read More

May 21, 2026 @ 2:51 pm By Omar Faridi  |  

Finfluencers are actively harming consumers and preventing them from achieving financial independence. Unsuspecting social media users are increasingly being subjected to flashy posts where people are shown driving fancy cars and flaunting their wealth but these are usually just props. In order to achieve true… Read More

May 21, 2026 @ 8:00 am By Omar Faridi  |  

Fintech professional Simon Taylor has shared key insights after the White House just issued an executive order under the Trump Administration requiring the SEC, CFTC, FDIC, OCC, CFPB, as well as the NCUA, to identify any applicable rules that block fintech firms within the next… Read More

May 20, 2026 @ 3:08 pm By JD Alois  |  

The Securities and Exchange Commission is expected to soon provide details on the pending “Innovation Exemption”. The concept has been pitched by the Chairman of the Commission, Paul Atkins. As previously reported, Atkins, a supporter of digital assets and beneficial innovation, aims to introduce a… Read More

May 19, 2026 @ 1:30 pm By JD Alois  |  

The number of listed or publicly traded companies has been declining for years. This is largely due to unsophisticated individuals making the rules by adding more burdensome compliance requirements that may have a positive intent but end up having a deleterious impact, compelling firms to… Read More

May 15, 2026 @ 8:54 am By Omar Faridi  |  

Bitcoin (BTC), Ethereum (ETH), XRP, Solana (SOL), Cardano (ADA), Binance Coin (BNB) rallied, posting strong gains this Friday as the US Senate Banking Committee approved comprehensive legislation designed to bring regulatory certainty to the digital asset industry. The Digital Asset Market Clarity Act, often referred… Read More

May 6, 2026 @ 3:44 pm By JD Alois  |  

The cost of being a public company has risen dramatically in recent years. This cost, mainly due to compliance, is a big reason why there are fewer and fewer public firms. In recognition of this challenge, the Securities and Exchange Commission (SEC) has proposed new… Read More

May 4, 2026 @ 4:54 pm By JD Alois  |  

Billionaire investor and entrepreneur Elon Musk has settled an outstanding case with the Securities and Exchange Commission.  The enforcement action was in regard to Musk’s takeover of Twitter, now called X. The allegation was that Musk delayed his disclosure of his purchases of Twitter shares,… Read More

April 29, 2026 @ 8:59 am By JD Alois  |  

The UK is in the midst of a consultation on digital assets and regulation. Beginning in October 2027, the UK Financial Conduct Authority (FCA) will add crypto to its remit. The consultation covers topics like issuing a qualifying stablecoin, operating trading platforms, dealing and arranging… Read More

April 28, 2026 @ 4:23 pm By JD Alois  |  

Finders is an amorphous activity where an individual or entity matchmakes money with private firms in need of funding. If you happen to have a great network of moneyed individuals, perhaps met at the club or a top university, things can be easier. But if… Read More

April 24, 2026 @ 11:14 am By JD Alois  |  

The DeFi Education Fund has sent a letter to the Securities and Exchange Commission requesting rulemaking regarding DeFi (Decentralized Finance). The DeFi Education Fund is a non-profit that advocates for regulatory clarity and research on the DeFi sector. The group was established in 2021 through… Read More

April 20, 2026 @ 3:04 pm By JD Alois  |  

After four years of virtual stasis, the Securities and Exchange Commission (SEC), Small Business Capital Formation Advisory Committee (SBCFAC) is doing what it should be doing and seeking ways to improve markets. The Committee’s next meeting, scheduled for April 28th, will discuss the moribund IPO… Read More

April 14, 2026 @ 8:22 am By Omar Faridi  |  

Ondo Finance has recently taken a major step toward regulatory clarity in the tokenized asset space, submitting a formal no-action letter request to the US Securities and Exchange Commission (SEC). The move seeks staff confirmation that the agency would not recommend enforcement action against the… Read More

April 13, 2026 @ 5:06 pm By JD Alois  |  

In another big win for the crypto industry, the Securities and Exchange Commission (SEC), Division of Markets and Trading, has issued a statement today indicating that certain software user interfaces used to trade crypto do not need to register as broker-dealers. The SEC, under the… Read More

April 9, 2026 @ 9:43 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has selected David Woodcock to become the Director of the Division of Enforcement Selected. Enforcement is the largest division of the SEC. SEC Chairman Paul Atkins said he was incredibly pleased to have Woodcock step in and lead the… Read More

April 8, 2026 @ 9:20 am By Omar Faridi  |  

A forward-looking regulatory proposal designed to give cryptocurrency projects breathing room at launch has now advanced to the highest levels of executive review. US Securities and Exchange Commission (SEC) Chairman Paul Atkins confirmed that the initiative would let new digital asset ventures begin operations without… Read More

April 7, 2026 @ 2:04 pm By JD Alois  |  

Republic, a leading online investment platform that provides access to capital for issuers as well as access to secondary offerings, recently met with the Securities and Exchange Commission (SEC) to discuss key issues which will impact online capital markets as well as secondary trading of… Read More

April 7, 2026 @ 9:57 am By JD Alois  |  

Reg Crypto is still on track, at least as was recently expressed by Securities and Exchange Commission Chair Paul Atkins. The Chairman has spoken about creating an “innovation exemption” in the past but according to Alex Thorn, posting on X, Atkins reiterated the concept at… Read More