Tagged: sec

January 23, 2026 @ 12:13 pm By JD Alois  |  

The Securities and Exchange Commission, Small Business Capital Formation Advisory Committee (SBCFAC) has scheduled its next meeting to discuss two key topics: Finders and secondary trading in private securities. Finders has been a long-time issue regarding private securities, specifically early-stage, and the SEC has discussed… Read More

January 21, 2026 @ 11:46 am By JD Alois  |  

SEC Chairman Paul Atkins recently addressed the Tel Aviv Stock Exchange, lauding the country’s unique innovation ecosystem. Israel has the nickname “Innovation Nation” due to the number of early-stage, venture-backed firms and the technology and products that become commercialized. Small in size in land mass, resources, and… Read More

January 21, 2026 @ 9:22 am By JD Alois  |  

The Securities and Exchange Commission (SEC) is soliciting new members of the Small Business Capital Formation Advisory Committee (SBCFAC). The Committee was created by the Small Business Advocate Act of 2016, signed into law by President Obama. The goal is to receive input and recommendations… Read More

January 8, 2026 @ 1:37 pm By JD Alois  |  

There has been a formal submission to the Securities and Exchange Commission (SEC) to increase the funding cap of Regulation Crowdfunding (Reg CF) from the current $5 million to $20 million. A petition to the SEC is a request to issue, change, or repeal a… Read More

January 5, 2026 @ 2:23 pm By Omar Faridi  |  

In a significant shift at the US Securities and Exchange Commission (SEC), Caroline Crenshaw, the agency’s final Democratic appointee and a vocal opponent of the cryptocurrency sector, has concluded her service. The announcement came on Friday, capping a period defined by her resolute doubts about… Read More

January 1, 2026 @ 9:21 pm By Omar Faridi  |  

Grayscale Investments recently submitted a preliminary registration statement to the U.S. Securities and Exchange Commission (SEC). This filing paves the way for the potential launch of an exchange-traded product focused on Bittensor, a key player in the decentralized artificial intelligence space. The proposed trust, set… Read More

December 30, 2025 @ 11:22 am By Omar Faridi  |  

The U.S. Securities and Exchange Commission (SEC) has announced the planned retirement of Cicely LaMothe, who has been serving as the longtime Deputy Director of the Division of Corporation Finance, marking the end of a 23-year tenure at the agency. LaMothe, who played a significant… Read More

December 28, 2025 @ 7:55 am By Omar Faridi  |  

The Securities and Exchange Commission recently filed charges against purported crypto asset trading platforms Morocoin Tech, Berge Blockchain Technology, and Cirkor, and investment clubs AI Wealth Inc., Lane Wealth, AI Investment Education Foundation, and Zenith Asset Tech Foundation alleging that they defrauded retail investors “out of… Read More

December 22, 2025 @ 12:01 am By Michael Wong  |  

The Philippines’ Securities and Exchange Commission has ordered Trading Point Holdings Ltd, which operates under the XM brand, to immediately stop soliciting investments, saying it was offering products to the public without the required registrations and licenses. In a cease-and-desist order, the regulator directed Trading… Read More

December 18, 2025 @ 11:23 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has charged Danh C. Vo, founder and CEO of VBit Technologies, with theft of investor funds in regard to a Bitcoin mining business. The SEC states that Vo raised over $95.6 million and then misappropriated $48.5 million of the… Read More

December 18, 2025 @ 11:09 am By JD Alois  |  

Sherwood “Woodie” Neiss, GUARDD CEO and securities crowdfunding OG, has sent a letter to the Securities and Exchange Commission outlining their ability to support secondary trading for exempt securities. The letter was sent in response to a statement by SEC Chairman Paul Atkins asking for… Read More

December 16, 2025 @ 11:35 am By JD Alois  |  

Earlier this month, Citadel Securities issued a statement addressed to the Securities and Exchange Commission (SEC) stating that it should not grant exemptive relief regarding the definitions of an exchange or a broker-dealer for DeFi trading protocols. Citadel claimed that granting broad exemptive relief from… Read More

December 15, 2025 @ 10:51 am By JD Alois  |  

The Securities and Exchange  Commission, Crypto Task Force, is holding another roundtable today (December 15, 2025). The topic of discussion is financial privacy and surveillance. As blockchain technology can provide broad capabilities for monitoring transactions, and the US government has been known to abuse its… Read More

December 11, 2025 @ 6:15 pm By JD Alois  |  

The Depository Trust & Clearing Corporation (DTCC) is making a big move into tokenization. Currently, DTCC is a vital part of the securities trading and tracking ecosystem. In 2024, DTCC’s subsidiaries processed securities transactions valued at US$3.7 quadrillion, and its depository subsidiary provided custody and… Read More

December 10, 2025 @ 2:42 pm By JD Alois  |  

The Blockchain Association and Ava Labs recently visited with the Securities and Exchange Commission’s Crypto Task Force to discuss the topic of two types of “protocol tokens,” as the Commission works toward creating a regulatory approach toward tokenization. Regulation PT These digital assets break down… Read More

December 9, 2025 @ 8:09 am By Omar Faridi  |  

tZERO Group, Inc., a key player focused on blockchain-powered multi-asset infrastructure, announced a significant expansion of trading availability on its SEC-regulated Alternative Trading System (ATS). Effective as of Dec 15, 2025, the ATS will reportedly support “24/7 order entry and 23.5 hours of trading on… Read More

December 8, 2025 @ 3:33 pm By JD Alois  |  

The Securities and Exchange Commission’s Crypto Task Force has provided an update for a roundtable gathering scheduled for December 15th. The gathering will address financial surveillance and privacy. SEC Commissioner Hester Peirce, leader of the Crypto Task Force, said new technologies provide an opportunity to… Read More

December 4, 2025 @ 3:29 pm By Omar Faridi  |  

CME Group, the world’s derivatives marketplace, announced that the U.S. Securities and Exchange Commission (SEC) has approved the registration of a new securities clearing house, CME Securities Clearing Inc. With launch expected in Q2 2026, CME Group will operate CME Securities Clearing to help market… Read More

December 2, 2025 @ 11:05 am By JD Alois  |  

Before the United States was a nation, it was an investment. Securities and Exchange Commission Chairman Paul Atkins delivered a speech at the New York Stock Exchange today outlining his thoughts on how to reinvigorate US markets. As everyone knows, public markets have been in… Read More

December 2, 2025 @ 10:00 am By JD Alois  |  

Panel Discussion: Regulatory Changes in Corporate Governance and Panel Discussion: Tokenization of Equities: How Issuance, Trading, and Settlement Would Work with Existing Regulation