Not all OTC options entered into by a non-U.S. dealer are required to be LOPR reported. Firms must carefully evaluate the manner in which they conduct their sales activities with respect to such options so that such options are appropriately categorized as to whether they are subject to reporting.  

The approach taken by Chair Atkins to reduce the tasks demanded of public issuers - and the expenses of those tasks - runs counter to his predecessor's approach and seems more likely to encourage private issuers to go public.

In considering why issuers did not choose to go public, but instead to rely on the private markets for financing, the former SEC Chair took the view that the reporting burdens imposed on private issuers were insufficient, and if only those burdens were increased…

Mr. Steil's statement, similar to Senator Warren's  (see above), goes to the question of regulatory authority.

Senator Warren asks why the regulators do not discourage cryptocurrency investments, even in the absence of legislative authority to do so. Mr. Steil asks why, under the prior Administration — and without authority — the regulators (particularly the CFPB) seemed to discourage products such as Earned Wage Access, as they appeared to act out of a policy belief that any…

Whether it is good public policy to allow retirement savings to be invested in cryptocurrencies is a fair question, but it is not a question for the SEC, which does not regulate retirement accounts. It is not even a question for the Department of Labor in the sense that the DOL does not have authority under ERISA to prohibit such investments.  

If Senator Warren believes that it is bad public policy to allow the assets of retirement plans to be invested in cryptocurrencies…