In an interview on "The Paul Finebaum Show," this week, Greg Sankey floated the idea of the SEC creating its "own set of rules." Todd Kirkland / SEC commissioner Greg Sankey is an institutionalist, ...

Two of the most powerful financial regulators in the United States have signed a new agreement aimed at reducing confusion over how cryptocurrencies should be regulated.

Officials from the SEC and the CFTC have framed the pact as a significant step towards ending long-standing tensions over ...

The committee that steers the U.S. securities regulator on investor issues voted to support a new effort to regulate stock transactions on blockchains.

SEC and CFTC sign agreement to coordinate regulation, clarify crypto oversight, and reduce duplicative rules across US financial markets.

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." ...

For companies seeking to raise capital without the complexities and costs of a public offering, Regulation D under the Securities Act provides a valuable exemption from SEC registration. This allows ...

SEC Form 1-A is a filing with the SEC for entities seeking exemption from registration requirements for certain public offerings. Explore its purpose and examples here.

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...

An SEC official indicated reviews are still meant more to help firms comply with Reg BI than to punish them for violations of the rule. But it's a good idea to document recommendations. By Mark ...

The US SEC and CFTC have signed a landmark memorandum of understanding (MOU) to coordinate on strengthening the US position ...