On January 10, 2024, the Securities and Exchange Commission (“SEC”) issued an order approving the applications of 11 different spot Bitcoin exchange‑traded products (the “Approved ETPs”) to each list and trade their shares on...more
1/17/2024
/ Bitcoin ,
Broker-Dealer ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
ETFs ,
Exchange-Traded Products ,
Investment Adviser ,
Investment Company Act of 1940 ,
Listing Applications ,
Mutual Funds ,
NYSE ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
On October 16, 2023, the Division of Examinations (the "Division") of the U.S. Securities and Exchange Commission ("SEC") released its 2024 Examination Priorities ("Annual Priorities").[1] Unlike in previous years when the...more
10/25/2023
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Fees ,
Investment Company Act of 1940 ,
Mutual Funds ,
Registered Funds ,
Risk Management ,
SCOTUS ,
Securities and Exchange Commission (SEC)