The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift.
Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more
As a follow-up to our prior discussion in this area, this article addresses a recent exemption issued to the New York Stock Exchange ("NYSE") by the Securities and Exchange Commission ("SEC") that allows for increased trading...more
3/10/2025
/ Bonds ,
Broker-Dealer ,
Capital Markets ,
Compliance ,
Debt Securities ,
Disclosure Requirements ,
NYSE ,
Regulatory Requirements ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation
There is no question that the Trump Administration is taking a markedly different approach to crypto regulation compared to the Biden Administration. The turning of the tide began when the White House nominated former PayPal...more
3/10/2025
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
FinTech ,
Fraud ,
Regulation A ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Tokenization
On January 13, 2024, the U.S. Court of Appeals for the 3rd Circuit ruled on Coinbase's Petition for Review of the SEC's Order denying Coinbase's Petition for Rulemaking requesting that the Commission promulgate rules...more
1/29/2025
/ Administrative Procedure Act ,
CFTC ,
Coinbase ,
Constitutional Challenges ,
Cryptocurrency ,
Digital Assets ,
Due Process ,
Enforcement Actions ,
FCC ,
Popular ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation