Searching Content by Edward G. Eisert ordered by Published Date Descending.
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SEC Announces Three New Rulemakings
On September 26, the Securities and Exchange Commission (SEC) announced three significant rulemakings. Summarized in a Public Statement by Chairman Jay Clayton, they are designed to achieve the following objectives.
United States
11 Oct 2019
Amendments To The Volcker Rule Are Adopted But Leave Much To Be Done
On September 18, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and ...
United States
1 Oct 2019
Still Waiting: SEC Again Delays Approvals Of Bitcoin ETFs
As further evidence of the SEC's resistance to the development of a regulated secondary market in bitcoin, on August 12 it delayed making a decision on three additional bitcoin exchange-traded fund (ETF) proposals.
United States
23 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Pocketful of Quarters, Inc. (PoQ) is the second-ever recipient of no-action relief from the Division of Corporation Finance of the Securities and Exchange Commission for the issuance of "Quarters."
United States
9 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Considered as a whole, these conditions are so restrictive and duplicative that they raise doubt as to the necessity of the relief.
United States
8 Aug 2019
SEC Staff Observation From Examinations Of Investment Advisers
On July 23, the SEC Office of Compliance Inspections and Examinations published a Risk Alert on its "Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest."
United States
31 Jul 2019
SEC/FINRA Joint Statement On Digital Asset Securities Does Not Address Regulatory Log Jam
Last week, the Staffs of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the Staffs)
United States
29 Jul 2019
SEC And FINRA Confirm Digital Assets A 2019 Examination Priority
Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC's Office of Compliance, Inspections and Examinations issued its 2019 Examination Priorities ...
United States
20 May 2019
NYDFS To Virtual Currency Exchange: Don't Let The Door Hit You On Your Way Out
The New York Department of Financial Services virtual currency license is back in the spotlight after NYDFS announced that it had rejected the application of Bittrex Inc.
United States
14 May 2019
Three Yards and a Cloud of Dust: SEC Staff Provides Its "Plain English" Framework to Guide Future Discussions
The SEC chose a week that saw the price of Bitcoin spike by over $700 in an hour, kicking off a rally reminiscent of the go-go days of 2017, to issue its long-awaited "plain English" guidance for determining...
United States
23 Apr 2019
The Beat Goes On: Division Of Investment Management Seeks Input On The Impact Of The Custody Rule On Digital Currency – And Vice Versa
As part of its ongoing examination of the Custody Rule, the SEC's Division of Investment Management is seeking views from the securities industry members and the public on two issues regarding the Custody Rule
United States
20 Mar 2019
United States
11 Mar 2019
Federal Regulators Issue Key Guidance On Fintech Issues
On July 30, the U.S. Department of the Treasury ("Treasury") and the Office of the Comptroller of the Currency ("OCC") provided important guidance on a broad range of issues confronting the fintech...
United States
9 Aug 2018
European Commission Publishes Consultation Paper On Capital Markets Union (CMU) Mid-Term Review
The European Commission published a paper (dated January 20, 2017) requesting feedback and general input on revisions to the CMU action plan.
European Union
31 Jan 2017
OCC Issues Responsible Innovation Framework
The OCC announced that it will establish an office "dedicated to responsible innovation and implement a formal framework...
United States
9 Nov 2016
SEC Office Of Compliance Inspections And Examinations Issues Risk Alert On Whistleblower Rule Compliance
Staff in the Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert announcing that it is examining registered investment advisers and registered broker-dealers...
United States
9 Nov 2016
SEC Adopts Final Rules To Facilitate Intrastate And Regional Securities Offerings
The Securities and Exchange Commission adopted final rules under Title III of the JOBS Act to permit a company to offer and sell securities through crowdfunding transactions...
United States
9 Nov 2016
CFPB Structure Ruled Unconstitutional
On October 11, 2016, the U.S. Court of Appeals for the District of Columbia Circuit ruled in PHH Corporation v. Consumer Financial Protection Bureau that the CFPB's structure is unconstitutional.
United States
26 Oct 2016
FINRA And SEC Announce Tick Size Pilot Program
FINRA and the SEC's Office of Investor Education and Advocacy announced a new National Market System (NMS) Plan that will implement a Tick Size Pilot Program that will widen the minimum quoting and trading increment.
United States
17 Oct 2016
California Enacts Legislation Requiring Public Investment Funds To Make Disclosures Concerning Fees And Expenses Paid To Private Fund Managers
Governor Jerry Brown approved an amendment to the California Government Code, effective January 1, 2017, that requires a "public investment fund," defined to mean "any fund of any public pension or retirement system..."
United States
28 Sep 2016
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