Securities and Exchange Commission (SEC), New Guidance, Financial Markets

SEC’s Division of Trading and Markets Issues New FAQ Guidance on Broker-Dealer Custody and Net Capital Treatment of Cryptoassets

Katten Muchin Rosenman LLP on 5/19/2025

The Securities and Exchange Commission (SEC) has taken a significant step toward permitting broker-dealers to custody digital assets and toward accounting for such proprietary digital assets in a broker-dealer’s net capital...more

SEC Division of Corporation Finance: Certain U.S. Dollar-Backed Stablecoins Are Not Securities

Jones Day on 4/9/2025

As the Trump administration and Congress seek to establish clear digital asset regulation, uncertainty remains on whether federal agencies consider stablecoins to be "securities" under federal law....more

Sample Letter to Companies Regarding Recent Developments in Crypto Asset Markets

Mayer Brown Free Writings + Perspectives on 12/12/2022

Last week, the Staff of the Division of Corporation Finance of the Securities and Exchange Commission posted a sample comment letter (see the sample letter) in order to provide guidance to reporting companies regarding the...more

Live from FIA L&C: Redefining the Scope of a “Trading Facility”

Cadwalader, Wickersham & Taft LLP on 5/3/2022

This week, attendees at the FIA L&C conference are gathered in Washington, D.C., for the first time in three years to discuss several issues with significant potential impact on the markets. One such issue is redefining the...more

SEC Publishes Sample Comments re: Stock Price Volatility

Sullivan & Worcester on 2/9/2021

The SEC’s Division of Corporation Finance published an "illustrative letter" with sample comments that it may issue to companies seeking to raise capital in securities offerings amid market and price volatility. These will...more

Financial Services Weekly Roundup: New Rules, Amendments And More Amid Coronavirus Outbreak

Goodwin on 3/19/2020

In This Issue. The ongoing global outbreak of the coronavirus (COVID-19) continues to grow in scale and scope. In response, federal financial regulators are continuing efforts to bring regulatory relief to promote stability...more

SEC’s Division of Investment Management Issues Guidance on Revising Fund Disclosure in Light of Changing Market Conditions

K&L Gates LLP on 4/6/2016

On March 2, 2016, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management issued new guidance (the “Guidance”) to registered investment companies and their investment advisers regarding the dynamic...more

Securities and Exchange Commission (SEC) › New Guidance › Financial Markets