Senate Republicans challenged the SEC to justify its proposal to expand Regulation Systems Compliance and Integrity to include broker-dealers.
News & Insights
The Mississippi Secretary of State issued a cease and desist order to an investment adviser as to the adviser's inconsistent statements to Mississippi investors on ESG strategies.
SEC staff urged broker-dealers and advisers to be ready for the shortening of the securities transaction settlement cycle.
FinCEN solicited comment on the Customer Identification Program Rule requirement that banks collect a taxpayer identification number, from a customer who is a U.S. person, prior to opening an account.
The U.S. District Court for the Southern District of New York denied Coinbase's Motion for Judgment on the Pleadings in the SEC's case against the exchange, allowing the SEC to proceed with its lawsuit. The SEC alleges that the Coinbase operates as an unregistered exchange, broker and clearing agency.