Tagged: sec

October 16, 2026 @ 2:56 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) and the Small Business Capital Formation Advisory Committee (SBCFAC) will review Regulation Crowdfunding (Reg CF) and modernize initial public offerings (IPOs).  Under the leadership of Chairman Paul Atkins, the Commission has long expressed its intent to adhere to its mission of… Read More

October 13, 2026 @ 5:00 pm By Omar Faridi  |  

House Financial Services Committee Chairman French Hill has argued that recent efforts by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to craft digital-asset rules fall short of the lasting framework only Congress can deliver. After the Senate blocked the CLARITY… Read More

October 6, 2026 @ 5:59 pm By Omar Faridi  |  

Federal securities regulators have filed a civil action against a New York fintech startup and its founder, accusing them of raising millions of dollars with financial records that did not reflect the company’s real results. The Securities and Exchange Commission (SEC) sued Gökçe Güven and… Read More

October 5, 2026 @ 4:28 pm By Omar Faridi  |  

Bitcoin (BTC) price is pressing back toward the $87,000 area as October opens, giving seasonal bulls a fresh case for a move toward roughly $94,000 if the month’s historical pattern holds. Spot-market data over the weekend showed the asset lifting from an intraday low near… Read More

October 5, 2026 @ 2:51 am By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) on October 1, 2026, advanced a package of proposed amendments and new provisions under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 aimed at creating a workable path for registered investment advisers and… Read More

October 2, 2026 @ 4:17 pm By Omar Faridi  |  

Evernorth Holdings has cleared a decisive shareholder hurdle on the way to a planned Nasdaq listing, after investors in its blank-check merger partner backed the deal that would turn the firm into a publicly traded vehicle centered on XRP. Evernorth and Armada Acquisition Corp. II… Read More

October 2, 2026 @ 11:17 am By Omar Faridi  |  

Robinhood’s (NASDAQ: HOOD) crypto leadership says the US Securities and Exchange Commission’s (SEC) new on-chain equity pathway may limit, rather than immediately clear, a US launch of the firm’s stock tokens. Johann Kerbrat, senior vice president and general manager of crypto and international, made the… Read More

October 1, 2026 @ 2:43 pm By JD Alois  |  

A few months ago, Crowdfund Capital Advisors (CCA) submitted a petition to the Securities and Exchange Commission (SEC) to increase the Reg CF [Regulation Crowdfunding] funding cap from $5 million to $20 million. In general, industry insiders support the move, viewing it as more closely… Read More

October 1, 2026 @ 5:14 am By JD Alois  |  

The Securities and Exchange Commission (SEC), Division of Corporate Finance, quietly updated the crypto assets FAQs. The SEC first posted this staff guide on September 25, 2026. On September 28th, the SEC updated the guidance to clarify when a digital asset is tied to the… Read More

September 30, 2026 @ 5:29 pm By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has accused four overseas-linked entities of running two overlapping “investment confidence” schemes that used WhatsApp, social media, and fake regulatory credentials to take more than $15 million from retail investors. On September 29, 2026, the agency filed two… Read More

September 30, 2026 @ 1:18 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) voted unanimously today to approve new pathways for individuals to qualify as an Accredited Investor, expanding opportunities to access private securities offerings. Broadly speaking, an Accredited Investor may participate in Reg D securities offerings. This exemption is used by… Read More

September 29, 2026 @ 8:47 am By Omar Faridi  |  

Blockchain.com, one of the longest-standing firms in digital-asset services, is preparing a push toward public markets this year as conditions in cryptocurrency trading begin to improve. According to people briefed on the discussions, the company has been approaching potential investors with plans for a listing… Read More

September 27, 2026 @ 12:31 pm By Omar Faridi  |  

US securities staff have offered a more precise reading of how existing law applies to two common crypto practices: token repurchase programs and tokens issued in liquid staking. In staff-level FAQs released September 25, 2026, the SEC’s Division of Corporation Finance said that, in defined… Read More

September 25, 2026 @ 5:15 pm By JD Alois  |  

SEC Commissioner Hester Peirce, who has completed two terms at the nation’s securities regulator, will end her tenure at the beginning of next month. In a post on X, Commissioner Peirce shared a letter to President Donald Trump thanking him for the chance to serve… Read More

September 25, 2026 @ 12:33 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has scheduled an open meeting next week to review several issues. Perhaps the most important for investors is a potential update to the definition of an Accredited Investor. In general, an Accredited Investor is someone who earns over $200,000… Read More

September 24, 2026 @ 11:39 am By JD Alois  |  

The Crowdfunding Professional Association (CfPA) has adopted a policy objective to ask the Securities and Exchange Commission (SEC) to “deliberately compare exemptions” and avoid a “disjointed patchwork of regulations.” The new “Presumptive Parity” advocacy was distributed by the CfPA board of directors this week. The… Read More

September 20, 2026 @ 12:45 pm By Omar Faridi  |  

KalshiEX has asked US regulators for permission to list perpetual futures tied to individual American stocks, placing the prediction-markets firm in the same race as Coinbase to bring a crypto-style derivative into traditional equities. On September 18, 2026, KalshiEX filed a proposed rule change with… Read More

September 18, 2026 @ 11:16 am By JD Alois  |  

A seismic shift for global finance as the US regulator brings the $75 trillion plus US equity market into the digital age As the tokenization market is predicted to quickly top trillions of dollars in securities within a few years, global participants in the tokenization… Read More

September 17, 2026 @ 4:35 pm By JD Alois  |  

tZERO, a pioneer in the tokenization sector, has commented on the Innovation Exemption order published by the Securities and Exchange Commission today.  The innovation exemption supports tokenized assets or digital securities. A tokenized securities venue, or TSV, can trade tokenized NMS stocks (NYSE/Nasdaq listings) through… Read More

September 17, 2026 @ 12:05 pm By JD Alois  |  

As expected, the Securities and Exchange Commission (SEC) has published its “Innovation Exemption” for tokenized or digital securities. The new rules will allow tokenized securities to trade on marketplaces or Tokenized Securities Venues (TSVs), each of which is a “TSV” under the definition of “exchange”… Read More