Small Businesses Unaware of New Disclosure Rule
February 8, 2024 - A new federal rule now requires more than 32 million U.S. small businesses to file ownership information to the...
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Watershed moment for crypto as SEC approves first bitcoin ETFs
January 10, 2024 - The Securities and Exchange Commission (SEC) has approved 11 applications for the first U.S.-listed exchange traded...
SEC leans on crypto compliance function as specialized support remains in critically short supply
October 18, 2023 - The Securities and Exchange Commission's (SEC) newly released 2024 examination priorities include tighter risk...
US Justice Department overhauls crypto crime investigative team
July 21, 2023 - The U.S. Justice Department is overhauling its investigative crypto crime unit, doubling the number of prosecutors...
Ripple ruling seen as setback for efforts to regulate crypto
July 13, 2023 - According to an article in the Wall Street Journal, a U.S. District court sided with Ripple, ruling that sales of its XRP...
EU formalizes world's first regulatory framework for crypto assets
June 29, 2023 - The European Union's groundbreaking regulation, the Markets in Crypto-Assets Regulation (MiCAR), went into force to...
SEC Issues Largest-Ever Whistleblower Award
May 5, 2023 - The U.S. Securities and Exchange Commission (SEC) announced a nearly $279 million award to a whistleblower whose assistance...
SEC proposed Rule 3b-16 to expand definition of exchange to crypto markets
April 14, 2023 - The Securities and Exchange Commission (SEC) published a release for its January 2022 proposal to amend Exchange Act...
SEC casts wider net for firms required to have written cybersecurity P&Ps
In March 2023, the U.S. Securities and Exchange Commission (SEC) reopened the comment period for its proposed Rule 10, which would...
US moves to T+1 settlement date
February 15, 2023 - the SEC adopted changes to Rules 15c6-1(a) and 15c6-1(c) under the Securities Exchange Act of 1934 (Exchange Act) to...
Crypto compliance failures cost Coinbase $50M in fines
January 5, 2023 - Coinbase is the latest crypto behemoth to be called out for compliance lapses, which New York regulators first flagged...
Following the "paperless" paper trail of FTX's spectacular collapse
December 14, 2022 - FTX's new CEO John Ray III sited a series of unprecedented compliance failures at a December Senate Banking Committee...
Brazil's brazen move in crypto
Nov. 29, 2022 - Although Brazil has not yet made Bitcoin (BTC) legal tender like El Salvador did last year, it has passed a law that...
Kraken to layoff 30% of staff as FTX fallout continues
Nov. 30, 2022 - Crypto exchange Kraken is reportedly planning to lay off 30% of employees as the fallout from the FTX collapse continues,...
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