21,175 results found

Jeffrey Alberts, Co-Chair of Pryor Cashman's FinTech Group, weighs the costs and benefits of registering sales of cryptocurrency tokens as securities offerings.

The nonfungible token markets posted nearly $40 billion in sales in 2021. Jones Day financial markets partner Mark Rasmussen explains what NFTs are, and how a coding standard that...

DOJ urges greater cooperation from private companies victimized by cyber attacks.

She outlined the Commission's efforts to address the risks posed by cyber attacks and reaffirmed that Commission staff would continue to focus on cybersecurity and controls in 2016.

Acting SEC enforcement director Stephanie Avakian says the agency may file formal enforcement actions against public companies that fall short of cyber incident and risk reporting requirements.

The SEC "Strategic Hub for Innovation and Financial Technology" ("FinHub") will become a stand-alone office at the SEC.

On Oct. 9, 2018, the Securities and Exchange Commission (SEC) filed a subpoena enforcement action in California against an investment trust that failed to respond to an investigative subpoena...

On October 17, the director of the SEC's Office of Compliance Inspections and Examinations delivered the keynote address at the National Society of Compliance Professionals 2016 National Conference.

In an article published by Thomson Reuters Westlaw, Kara Kapp discusses the implications of the court's acceptance of Ripple Labs' fair...

SEC Enforcement Division Asset Management Unit Co-Chief Anthony S. Kelly will leave the agency prior to December 1, 2018.

Following the first reading of the proposed Regulation on reporting and transparency of securities financing transactions in the European Parliament, the Council of the EU has published a note setting out the proposals.

On February 26, 2015, the EBA published its opinion on lending-based crowdfunding, recommending that the applicability of existing EU law to the activity be clarified.

On September 29, 2015, the European Commission published a guide for small and medium enterprises on how to use crowdfunding.

On 2 December 2019, ESMA published an updated list of thresholds for offers below which no prospectus is required under the PR, in addition to a summary of the national rules applying to offers below that threshold ...

On December 16, the EBA published its final report setting out draft RTS on prudential requirements for central securities depositories under the Regulation on improving securities settlement and regulating CSDs (Regulation 909/2014).

On March 4, 2015, the EU General Court delivered its judgment on the UK Government’s challenge of the European Central Bank’s CCP location policy set out in the ECB’s Eurosystem Oversight Policy Framework.

The European Commission has adopted a Delegated Regulation and annex supplementing the Markets in Financial Instruments Regulation...