SEC Commissioner Mark T. Uyeda highlighted current regulatory challenges concerning (i) the definition of "dealer" under the Exchange Act, (ii) the lack of guidance over cryptocurrencies and (iii) the handling of off-channel communications by broker-dealers.
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FINRA set an effective date of August 23, 2023 for rule amendments to make permanent COVID-related procedural relief that will allow video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council.
The SEC approved a FINRA rule amendment to make permanent COVID-related procedural relief that will allow video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council.
The SEC issued a Consent Order that requires the crypto asset trading platform to repatriate assets held for the benefit of U.S. customers and to prohibit the destruction of records.
The SEC requested a temporary restraining order to freeze the assets of the crypto asset trading platform Binance Holdings Limited, following recent charges for failing to register with the agency.