Tagged: securities and exchange commission

April 16, 2025 @ 7:56 am By Omar Faridi  |  

The U.S. Securities and Exchange Commission (SEC) has approved the Green Impact Exchange (GIX), marking a key milestone for sustainable investing. Set to launch in early 2026, GIX will reportedly be the first U.S. national securities exchange dedicated to the $35 trillion global green economy…. Read More

April 13, 2025 @ 1:39 pm By Michael Wong  |  

The US Securities and Exchange Commission’s (SEC) Crypto Task Force convened its second roundtable in Washington, D.C., spotlighting the challenges and opportunities surrounding crypto trading in the United States. Acting Chairman Mark T. Uyeda, addressing an audience of regulators, industry representatives, and legal experts, drew… Read More

April 1, 2025 @ 3:09 pm By JD Alois  |  

During the Gensler administration, the Securities and Exchange Commission (SEC) took a hard turn towards social issues (ESG) and away from its mandate of efficient markets, capital formation, and investor protection. In fact, little or nothing was done to support facilitating capital for both private… Read More

March 20, 2025 @ 2:17 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has issued a statement on Proof of Work (PoW), a characteristic of some digital assets – most prominently Bitcoin. Proof of Work is a way to validate and mint new crypto. At one time, Ethereum was PoW, but it… Read More

March 15, 2025 @ 4:14 pm By Robin Sosnow and Jason Siev  |  

The U.S. Securities and Exchange Commission (SEC) just made a game-changing move for capital raisers utilizing Rule 506(c) under Regulation D. On March 12, 2025; the SEC issued two new C&DIs as well as a pivotal no-action letter (the “Latham No-Action Letter”) which together significantly… Read More

March 11, 2025 @ 10:31 am By JD Alois  |  

The Securities and Exchange Commission (SEC) has updated rules for enforcement actions. According to a document posted on the SEC’s website, the Director of Enforcement will no longer be able to issue formal orders of investigation and must seek Commission approval before pursuing the investigation…. Read More

March 3, 2025 @ 9:40 am By JD Alois  |  

The Securities and Exchange Commission (SEC) will hold a roundtable on Artificial Intelligence (AI). The event will be held at SEC headquarters in Washington, DC, and is open to the public for either in-person or virtual attendance. AI is currently in use at most large,… Read More

February 28, 2025 @ 10:38 am By JD Alois  |  

Meme Coins, or crypto assets with no apparent value beyond the fact they exist, have been deemed not to be securities by the Securities and Exchange Commission (SEC). According to a Staff statement, the Division of Corporation Finance (CorpFin): “transactions in the types of meme… Read More

February 20, 2025 @ 9:44 am By JD Alois  |  

DOGE or the Department of Government Efficiency, has been running through the various federal bureaucracies looking for fat to cut and employees to eliminate. While there has been much hand-wringing from opposition Democrats and individuals impacted, the majority of the US is supporting the move… Read More

February 9, 2025 @ 11:50 am By JD Alois  |  

After years of actively undermining digital asset innovation, the Securities and Exchange Commission (SEC) will take steps to recognize and enable new technology that will improve the securities ecosystem and potentially help create new asset classes traded around the world. During the Biden Administration,  the… Read More

January 27, 2025 @ 1:19 pm By JD Alois  |  

ICAN, or Investors Choice Advocates Network, is a non-profit that advocates on behalf of underserved investors and those individuals deemed to be unfairly targeted by the Securities and Exchange Commission. ICAN supports investors’ rights, which sometimes suffer from too much government and too little freedom…. Read More

January 21, 2025 @ 9:27 am By JD Alois  |  

Commissioner Mark Uyeda has been designated the Acting Chair of the Securities and Exchange Commission (SEC) following the inauguration of President Donald Trump and the exit of the Biden Administration. Former SEC Chairman Gary Gensler officially exited his leadership role at the Commission on the… Read More

January 20, 2025 @ 10:10 am By Omar Faridi  |  

The US Securities and Exchange Commission has recently announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from October through December 2024, including “118 standalone enforcement actions.” The Division filed a… Read More

December 23, 2024 @ 10:09 pm By Michael Wong  |  

The Philippine Securities and Exchange Commission (SEC) has introduced extensive rules governing crypto-assets, covering disclosures, public offerings, trading, and marketing activities. The regulations aim to enhance investor protection and promote transparency in the burgeoning digital asset market. Under the new guidelines, crypto-asset offerings must submit… Read More

December 13, 2024 @ 11:17 am By JD Alois  |  

Yesterday, the Securities and Exchange Commission charged Cantor Fitzgerald, LP, and two Special Purpose Acquisition companies (SPACs) it controlled with “making misleading statements to investors ahead of their initial public offerings (IPOs).” SPACs are companies that go public with the intent to acquire a private… Read More

December 4, 2024 @ 3:50 pm By JD Alois  |  

President-elect Donald Trump has selected Paul Atkins, a former SEC commissioner, to lead the nations top securities regulator as the Chairman of the Commission Announcing the appointment on Truth Social, Trump stated: “I am delighted to announce the nomination of Paul Atkins to be the… Read More

November 25, 2024 @ 9:47 am By Omar Faridi  |  

  The Securities and Exchange Commission (SEC) recently announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. The 583 enforcement actions are said to represent a significant… Read More

November 21, 2024 @ 3:05 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has announced that Chairman Gary Gensler will exit the agency on January 20, 2025, the same day President-elect Donald Trump will be sworn in. While some pundits predicted that Gensler would exit sooner, giving another Commissioner a chance to… Read More

November 14, 2024 @ 4:07 pm By JD Alois  |  

As the Securities and Exchange Commission (SEC) winds down the Biden era of regulation, Chairman Gary Gensler took a moment to reflect on his accomplishments during his tenure as its head. Speaking at PLI’s Annual Institute on Securities Regulation, Gensler said effective markets do not happen by… Read More

November 12, 2024 @ 10:30 am By JD Alois  |  

The Investor Choice Advocates Network (ICAN) has filed a petition with the courts to compel the Securities and Exchange Commission (SEC) to act on a ruling that is said to be harming a client due to an extensive delay. ICAN, a non-profit law firm, and its… Read More