The meeting will be held at 10am ET, open to the public, and offered via webcast on the SEC’s website.
RIA
The agency signaled that it intends to rely less on enforcement to define policy and more on clear, workable rules to reduce regulatory complexity and improve coordination across regulators.
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
Article label: Quick Read
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