NASAA
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GRIP Extra: SEC names new enforcement chief, DOJ opens fraud division
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: CFTC sues states over prediction markets, OCC rescinds big bank recovery planning guidelines
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: CFTC launches Innovation Task Force, digital Euro progress advances
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
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GRIP Extra: Anthropic clashes with Pentagon, OCC proposes GENIUS Act implementation rules
Our in-brief roundup of notable stories from the last week.
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SEC small business committee continues ‘finders’ discussion
“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.
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NASAA warns on the Digital Commodity Intermediaries Act
NASAA says the Act could dismantle a long-standing system of layered investor protection by concentrating authority into a single federal agency.
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GRIP Extra: HSBC to book $1.1B provision after losing Madoff appeal, EU coordinates enforcement on GDPR transparency
Our in-brief roundup of notable stories from the last week.