Archives

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

September 7, 2025 @ 11:16 pm By Michael Wong  |  

The U.S. Securities and Exchange Commission and Commodity Futures Trading Commission will hold a joint public roundtable on Sept. 29 to address regulatory clarity for cryptocurrency markets, focusing on decentralized finance protocols, perpetual contracts and other digital asset innovations. The four-hour session at SEC headquarters… Read More

September 5, 2025 @ 12:10 pm By JD Alois  |  

After years of negligence and obtuse rulemaking, the Securities and Exchange Commission (SEC) has announced a “new day” as the agency refocuses its energy on its job of efficient markets and capital formation. During the Gensler tenure, the Commission sought to alter markets in way… Read More

September 4, 2025 @ 8:46 pm By Omar Faridi  |  

The Depository Trust & Clearing Corporation (DTCC), a key part  of global financial market infrastructure, has recently announced significant developments that underscore its commitment to tech advancements, security, and client-focused leadership. These updates include the submission of a rule filing by its Fixed Income Clearing… Read More

September 3, 2025 @ 1:22 pm By JD Alois  |  

The SEC’s Division of Trading and Markets and the CFTC’s Division of Market Oversight and Division of Clearing and Risk have issued a statement on the joint initiative regarding spot crypto trading. The announcement is associated with the President’s Working Group on Digital Asset Markets… Read More

August 21, 2025 @ 8:13 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has selected Judge Margaret “Meg” Ryan to become the new Director of the Division of Enforcement. This Division is the largest at the SEC and in many ways the most public aspect of the regulator. SEC Chairman Paul Atkins… Read More

August 16, 2025 @ 5:15 pm By Omar Faridi  |  

In a significant step toward mainstream adoption of cryptocurrency-based investment products, Grayscale Investments has submitted an S-1 registration statement to the U.S. Securities and Exchange Commission (SEC) to launch a spot Dogecoin exchange-traded fund (ETF). The filing, announced on August 16, 2025, signals Grayscale’s aim… Read More

August 16, 2025 @ 10:21 am By Omar Faridi  |  

In a recent appearance on Mornings with Maria, Securities and Exchange Commission (SEC) Chair Paul Atkins voiced strong support for President Trump’s executive order aimed at broadening investment opportunities for 401(k) retirement plans by including cryptocurrencies and private equity. Atkins emphasized that this policy shift… Read More

August 15, 2025 @ 5:29 pm By JD Alois  |  

DealMaker, a leading platform supporting online capital formation, recently met with the Securities and Exchange Commission (SEC) to discuss crypto. DealMaker is a tech-infused broker-dealer that enables issuers to raise funds under Reg D, Reg CF, and Reg A. DealMaker has facilitated several billion in… Read More

August 12, 2025 @ 2:47 pm By JD Alois  |  

How things have changed at the Securities and Exchange Commission (SEC). During the last administration, digital assets were vilified to an extreme. While telling crypto innovators to come in and chat, the offer was viewed as more of a trap. Some in the cryptosphere simply… Read More

August 9, 2025 @ 10:05 am By Tony Zerucha  |  

From the SEC’s comments on liquid staking to the CFTC spotlighting spot crypto trading on registered exchanges and Trump’s rate cut call, Web3 was busy talking about government affairs this week. And what would a week be without some AI talk? SEC comments on liquid… Read More

August 8, 2025 @ 9:12 am By Omar Faridi  |  

In a landmark development for the cryptocurrency industry, Ripple Labs and the U.S. Securities and Exchange Commission (SEC) have mutually agreed to drop their appeals in a high-profile legal battle that began in 2020. The decision, finalized on August 7, 2025, marks the end of… Read More

August 2, 2025 @ 4:00 pm By Michael Wong  |  

The Securities and Exchange Commission (SEC) has launched a dedicated task force to accelerate the responsible adoption of artificial intelligence across the agency, aiming to enhance innovation, operational efficiency, and regulatory capabilities. Valerie Szczepanik has been appointed as the SEC’s first Chief AI Officer and… Read More

August 2, 2025 @ 3:45 pm By Michael Wong  |  

The U.S. Securities and Exchange Commission (SEC) is expanding its outreach to the cryptocurrency industry through a new national tour by its Crypto Task Force, aimed at gathering feedback from early-stage crypto startups and underrepresented stakeholders. The initiative follows a series of five roundtables held… Read More