SEC
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SEC opens non-registration path for some crypto trading interfaces
A staff advisory said some “self-custody” crypto trading interfaces may be able to operate without broker-dealer registration if they do not provide recommendations.
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The SEC’s new arithmetic – fewer cases, sharper consequences
Enforcement at the SEC has slowed in volume, but for those who fall within its narrower focus, the consequences may be more severe than before.
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SEC Staff publishes additional Names Rule FAQs
This article provides a brief historical background of the Names Rule and a summary of the current obligations of registered funds.
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SEC Staff proposes N-PORT amendments and extends compliance dates
If adopted, the amendments in the Proposal would remove Names Rule-related reporting requirements previously adopted in 2023.
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SEC hints long-awaited e-delivery rule could be imminent
House lawmakers are also moving to allow electronic investor disclosures and communications, but the SEC may act first.
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SEC proposal offers clarity regarding Exchange Act Rule 15c2-11
The amendment would swap out the term “security” currently included in the rule and replace it with “equity security.”
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SEC amends Enforcement Manual for the first time since 2017
A summary of the key changes reflecting the policy shift, as well as important updates modernizing and standardizing aspects of SEC enforcement processes.
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Atkins discusses CFTC-SEC harmonization and regulatory simplification
Atkins called for non-duplicative SEC-CFTC oversight and more straightforward approval of new products.