On February 27, 2025, the Securities and Exchange Commission’s Division of Corporation Finance (“CorpFin”) issued a Staff Statement announcing its view that meme coin transactions do not involve the offer and sale of...more
3/6/2025
/ Compliance ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Fraud ,
Howey ,
Investment ,
Market Manipulation ,
Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Token Sales
The U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) have each published their annual examination priorities for 2021, signaling areas of scrutiny that broker-dealers should...more
4/9/2021
/ Anti-Money Laundering ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Cybersecurity ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Phishing Scams ,
Ransomware ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)