Securities Exchange Commission (SEC)
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SEC Releases Planned Regulatory Actions for the Coming Year
On January 4th, the Office of Information and Regulatory Affairs released the Fall 2022 Unified...
Paul Rice, Alex Stout
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SEC Releases InfoSec “Roadmap” for GLBA Entities
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has released a...
Nur Laliji, Jason Wool
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Is Your Token a Security? The SEC Wants to Help You Figure That Out.
The SEC has issued a “Framework for ‘Investment Contract’ Analysis of Digital Assets” (the ‘Framework’) that...
Jason Wool
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SEC Announces First Settlement with an Unregistered Cryptocurrency Exchange
The Securities and Exchange Commission (“SEC”) recently announced a $388,000 settlement with the founder of...
Plamena Gerovska
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Financial Advisor Security Incident Leads to $1 Million SEC Settlement
The SEC and Voya Financial Services recently reached a $1 million settlement, stemming from a...
Jeff Landis
