Tagged: sec

Last Week, the SEC Pulled 14 Rules in Another Sign of Chairman Atkin’s Support of Markets, Innovation

On June 12th, the Securities and Exchange Commission (SEC) yanked 14 proposed rules that were pursued during the aggressive Gensler administration. While the former SEC Chairman during the Biden Administration sought to undermine innovation while pursuing a social agenda, the Atkins Commission is clearly realigning… Read More

SEC Names New Head of Division of Investment Management, Trading and Markets, Others

Chairman of the Securities and Exchange Commission (SEC) Paul Atkins is moving to establish leadership at the Commission to help him effectuate his policy goals. Today, the SEC announced several new leadership additions. This includes the Director of the Division of Investment Management and the… Read More

Congressman Timmons Demands SEC Transparency on Ethereum’s Regulatory Past

Congressman William Timmons, a Republican from South Carolina, has fired off a letter to newly appointed SEC Chair Paul Atkins, demanding documents that shed light on the agency’s inconsistent handling of Ethereum (ETH) under former Chair Gary Gensler. Sent on June 10, 2025, this move… Read More

SEC Appears to Agree on Foreign Private Issuers Reform

The Securities and Exchange Commission is poised to revise its treatment of foreign private issuers. While recognizing that they do not want to deter foreign issuers from US markets, there seems to be an agreement that the playing field needs to be leveled, as disparities… Read More

SEC Kicks Off Consultation on Foreign Private Issuers

The Securities and Exchange Commission (SEC) is asking for feedback on the treatment of Foreign Private Issuers. The public comment period will remain open for 90 days following publication of the concept release in the Federal Register. In brief, issuers who are based outside the… Read More

Capital Ideas: Can $12K Beat Wall Street? Paul Lovejoy’s 366-Day Crowdfunding Challenge Says Yes

Crowdfunding a New Path to Wealth: Paul Lovejoy’s Leap Year Portfolio and the Fight for Investor Access Paul Lovejoy, founder of Stakeholder Enterprise, shared his bold vision for democratizing wealth creation. His ambitious “Leap Year Portfolio” experiment—making 366 crowd-based investments in 366 days—offers a compelling… Read More

Canary Capital Group Files S-1 Registration for CRO Spot ETF

Canary Capital Group LLC, a digital asset-focused investment firm, has submitted an S-1 registration statement to the U.S. Securities and Exchange Commission (SEC) for the first spot CRO ETF in the U.S. The proposed publicly available fund aims to provide U.S. investors with direct “exposure… Read More

SEC Analysis of Reg A: $9.4 Billion for Over 800 issuers

The Securities and Exchange Commission (SEC), Division of Economic and Risk Analysis (DERA), has published a report on Regulation A (Reg A) alongside a document reviewing Reg CF. The report states that since Reg A was updated under the JOBS Act of 2012, over 800… Read More

SEC Clarifies Position on Crypto Staking: A Major Step Forward for the Crypto Community

The Securities and Exchange Commission (SEC), Division of Corporate Finance, has issued a clarification on staking. Staking is a process in the crypto sphere where certain holders of digital assets that utilize “Proof of Stake” (PoS) are committed to a consensus process for the network… Read More

Big Decision. SEC Drops Case Against Binance

The Securities and Exchange Commission (SEC) has dismissed its civil enforcement case against Binance. Announced in a brief statement today, the SEC said it had filed a joint stipulation with defendants Binance Holdings Limited, BAM Trading Services Inc., BAM Management US Holdings Inc., and Changpeng… Read More

SEC Crypto Task Force Panelists on DeFi Revealed

The SEC’s next Crypto Task Force Roundtable is preparing to tackle DeFi or decentralized finance. Entitled “DeFi and the American Spirit,” SEC Commissioner Hester Peirce says DeFi “exemplifies the promise of crypto, as it allows people to interact without intermediaries.” “I look forward to learning… Read More

SEC Provides Analysis of Reg CF Crowdfunding Activity

The Securities and Exchange Commission (SEC), Division of Economic and Risk Analysis (DERA) has provided an analysis of Reg CF and Reg A as enabled under the JOBS Act of 2012. The SEC has previously provided data on the various online capital formation exemptions, but… Read More

NASAA Issues Recommendations for SEC Regulation of Crypto

The North American Securities Administrators Association (NASAA) has issued “principles” for the Securities and Exchange Commission (SEC) on the regulation of digital assets, or crypto. NASAA is the entity that represents all state and provincial securities regulators across the continent. At times in the past,… Read More

SEC Charges Unicoin, Top Execs for Allegedly Offering Fraud That Raised $100M from Thousands of Investors

The Securities and Exchange Commission (SEC) charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and former Chief Investment Officer Alex Dominguez—for “false and misleading statements… Read More

Common Sense Returns to the SEC

Today, Paul Atkins, the newly minted Chairman of the Securities and Exchange Commission, testified in front of the House Appropriations Subcommittee on Financial Services and General Government. In prepared testimony, Chairman Atkins delivered remarks to the members that indicated the Commission has now returned to its age-old… Read More

SEC Withdraws Prior Statement on Broker Dealer Custody of Digital Assets

The Securities and Exchange Commission (SEC) continues to reverse the damaging policies enacted by the SEC during the Biden Administration. Today, the SEC announced that it has withdrawn the previous guidance on Broker-Dealers and the custody of digital assets. The SEC Division of Trading and… Read More

Ripple Resolves SEC Enforcement Action, Pays $50 Million

The Securities and Exchange Commission (SEC) has stated that the pending enforcement action with Ripple, Brad Garlinghouse, and Christian Larsen has been resolved. The SEC noted that it would ask the court to dissolve the injunction against Ripple from the final judgment revealed in August 2024. An… Read More

Loral Langemeier, Live Out Loud, Ordered to Pay Penalty Following SEC Enforcement Action

Loral L. Langemeier and her company Live Out Loud, Inc. have been ordered to pay a penalty and disgorgement following an enforcement action by the Securities and Exchange Commission (SEC). The United States District Court for the District of Nevada has ordered Langemeier to pay… Read More

SEC Litigation Targeting Dragonchain Tossed, With Prejudice

The Securities and Exchange Commission (SEC) has thrown out another lawsuit targeting a digital asset firm. According to a release, Dragonchain and founder John Joseph Roets are now off the hook from civil litigation. In 2022, the SEC charged Dragonchain with raising $16.5 million in an “unregistered… Read More

SEC SBCFAC to Review Reg A Securities Exemption: What Needs to Change?

Tomorrow (May 6, 2025), the Securities and Exchange Commission (SEC), Small Business Capital Formation Advisory Committee (SBCFAC) will meet to discuss the Regulation A, or Reg A+, securities exemption. Reg A existed before the JOBS Act of 2012, but few issuers utilized the exemption. Following… Read More

Send this to a friend