The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the ...

Move would sweep many more RIAs and funds into the “small entity” bucket, potentially reshaping how the federal securities ...

On3, 2026, SEC Chair Paul Atkins issued a statement directing the Division of Corporation Finance to conduct a comprehensive review of Regulation S-K, which governs various qualitative disclosures ...

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...

For the first time, crypto and digital assets played a meaningful role in a US election. The crypto community favored President Trump in the 2024 election because he promised crypto-friendly reforms ...

For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows ...

The United States Securities and Exchange Commission has recently unveiled a new rulemaking agenda that is meant to overhaul cryptocurrency regulations and reduce the ...

Broker/dealer advocates are pressing Securities and Exchange Commission Chair Paul Atkins on what they claim is the agency’s enforcement approach to “shoot first and ask questions later,” a practice ...

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

The Financial Services Institute has asked the SEC to adopt formal rules that "ensure fairness, transparency and predictability in its enforcement practices." The request came in a letter sent by FSI ...

The IRS issued the proposed regulations to reflect changes made by H.R. 1 to the threshold for backup withholding for ...