Digital assets are not the only coins drawing regulatory scrutiny these days. Earlier this year, the U.S. Securities and Exchange Commission (SEC) announced that it filed a complaint against California-based Red Rock Secured...more
10/27/2023
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CFTC ,
Digital Assets ,
Enforcement Actions ,
Fraud ,
Individual Retirement Account (IRA) ,
Investment Advisers Act of 1940 ,
Parallel Proceedings ,
Rare Earth Metals ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations
The SEC on Feb. 15, 2023, announced new proposed obligations for registered investment advisers concerning custody of investor assets. Although the rule is only in proposed form, given the current composition of the SEC, the...more