Archives

November 16, 2025 @ 1:28 pm By Michael Wong  |  

The U.S. Securities and Exchange Commission said Antonia M. Apps, a deputy director in its enforcement division who oversees the regulator’s Northeast offices, will leave the agency on Dec. 1, 2025. Apps, a former federal prosecutor and law firm partner, has served as Deputy Director… Read More

November 14, 2025 @ 2:31 pm By JD Alois  |  

SEC Chairman Paul Atkins spoke at the 9th Annual Fintech Conference held at the Philadelphia Fed this week. He shared that he expects the Commission to establish a “token taxonomy” based on existing securities law, while acknowledging that the current regime has limitations. Atkins said… Read More

November 1, 2025 @ 5:21 am By Michael Wong  |  

The US Securities and Exchange Commission (SEC) moved to streamline the shift to central clearing of Treasuries, launching a one-stop page with updates, staff statements and guidance for brokers and buy-side firms. The initiative builds on rule changes adopted in December 2023 and subsequent extensions… Read More

October 24, 2025 @ 5:20 pm By JD Alois  |  

SEC Commissioner Hester Peirce attended the CfPA Regulated Investment Crowdfunding Summit this week, sharing insight into the regulatory environment at the Commission. One of the topics the Commissioner discussed was the advent of “Mirror Tokens.” Mirror Tokens are assets that are designed to reflect the… Read More

October 16, 2025 @ 2:51 pm By Andrew Corn  |  

With the federal government now shut down, the continued closure of the Securities and Exchange Commission (SEC) has become more than an inconvenience—it’s an economic threat. Treating the SEC as “non-essential” is a serious mistake that undermines investor protection, halts capital formation, and stalls the… Read More

October 16, 2025 @ 10:33 am By JD Alois  |  

Initially scheduled for tomorrow, the Securities and Exchange Commission (SEC) Crypto Task Force meeting on privacy and surveillance has been postponed. The SEC has posted a notice stating that, due to a lapse in appropriations, the gathering will be rescheduled for a later date. The… Read More

October 15, 2025 @ 10:35 am By JD Alois  |  

Two weeks into the shutdown of the federal government, and there is no end in sight as the Democrat minority digs its heels in, demanding an additional $1.5 trillion added to certain government programs. While the Republican majority wants to pass a continuing resolution (CR) to… Read More

October 2, 2025 @ 2:01 pm By JD Alois  |  

Last month, the Securities and Exchange Commission (SEC), Office of the Inspector General (OIG), issued a memo stating there were “avoidable errors” that led to the loss of former SEC Chairman Gary Gensler’s texts. On January 17, 2024, the SEC Office of Information Technology (OIT) reported… Read More

October 2, 2025 @ 2:51 am By Omar Faridi  |  

TXSE Group, based in Dallas, Texas, has announced that the Securities and Exchange Commission has formally approved the Texas Stock Exchange’s (TXSE) Form 1 registration to operate as a national securities exchange.  TXSE claims to be the most well-capitalized equities exchange to ever be approved… Read More

October 1, 2025 @ 2:49 pm By JD Alois  |  

Yesterday, the Securities and Exchange Commission’s Division of Investment Management issued a no-action letter regarding the provision of custody for cryptocurrencies. A no-action letter is not a hard ruling but provides guidance for firms engaged in the business addressed in the statement. The letter was… Read More

October 1, 2025 @ 11:19 am By JD Alois  |  

Tokenized securities, also known as digital securities, will soon become increasingly ubiquitous. However, before the widespread adoption of these digital assets occurs, regulators and operators need to address several issues, as digital securities can incorporate more features and functionality than their analog counterparts. And certain… Read More

October 1, 2025 @ 10:51 am By JD Alois  |  

Stacey Bowers will be exiting her role at the SEC as the Director of the Office of the Advocate for Small Business Capital Formation, as of October 17th. Bowers stepped into the position in January 2024 during the Biden Administration. The Office of the Advocate… Read More

September 29, 2025 @ 2:20 pm By JD Alois  |  

Once again, the Securities and Exchange Commission’s Small Business Forum has shared its views on how regulations and rules should be modified to enhance the prospects for smaller firms. This event has been ongoing for 44 years, with a report published following each annual gathering. This… Read More

September 27, 2025 @ 9:09 am By Michael Wong  |  

U.S. Securities and Exchange Commission (SEC) Commissioner Caroline Crenshaw warned against rushing to roll back disclosure requirements for asset-backed securities (ABS), saying weak issuance levels may reflect lack of investor demand rather than regulatory barriers. The SEC issued a concept release this week asking whether… Read More

September 24, 2025 @ 12:30 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) will meet on September 29 to discuss ways to harmonize regulatory matters more effectively. With the advent of digital assets, agency rules or characteristics of assets may overlap, causing confusion for issuers… Read More

September 23, 2025 @ 3:38 pm By Omar Faridi  |  

Nick Morgan is a finalist for the Gregor G. Peterson Prize in Venture Philanthropy. Established in 2019 by the Peterson Family to acknowledge the work of Greg Peterson, a key figure in business and philanthropy, the prize awards a $250,000 grant over three years to… Read More

September 19, 2025 @ 1:31 pm By JD Alois  |  

In a meeting of the Securities and Exchange Commission (SEC), Investor Advisory Committee (IAC), members approved recommendations pertaining to providing greater access to private securities for retail investors. The IAC was established under the Dodd-Frank Act, which authorizes the Committee to make recommendations to the… Read More

September 17, 2025 @ 5:54 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) made some rule changes today, and one of them will impact Regulation A (Reg A), a securities exemption utilized for online capital formation. Reg A requires an offering to be qualified by the SEC before commencing a funding round…. Read More

September 16, 2025 @ 5:05 pm By JD Alois  |  

The SEC has scheduled an open meeting for tomorrow where the members of the Commission will discuss and vote on certain regulatory items. The topics of discussion include: The Commission will consider action relating to the compliance date for the amendments to Form PF that… Read More

September 16, 2025 @ 2:22 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) says it has added four new members to fill vacancies on its Investor Advisory Committee, joining 16 other current members. The Committee aims to advise the  Commission on issues impacting investors and the regulatory needs of securities markets. SEC… Read More