Who Actually Needs to Register as a Broker-Dealer? — SEC Roundup
By Nicolas Morgan and Tom ZaccaroAndreessen Horowitz and the DeFi Education Fund are proposing a "safe harbor" for fintech apps.
May 22, 2025
New Custody Rules Signal 'Regulatory Reset' for Digital Assets: SEC RoundupFormer SEC Commissioner Troy Paredes discuss the commission's evolving approach to financial innovation and digital asset regulation.
April 25, 2025
Ray of Hope Emerges for 'Forever Bars': SEC RoundupIn four separate cases, the SEC has granted applications filed by barred professionals seeking to resume working.
April 16, 2025
SEC Backs Off Dealer Rule, but Legal Uncertainty Remains — SEC RoundupThe fight over who qualifies as a securities dealer isn’t finished.
March 21, 2025
Is the MSRB Unconstitutional? — SEC RoundupThe American Securities Association has filed a petition challenging the constitutionality of the Municipal Securities Rulemaking Board.
March 04, 2025
Short Seller Challenges SEC on Free Speech: SEC RoundupAndrew Left and his attorney are seeking regulatory clarity on an issue with First Amendment implications.
January 31, 2025
Father-Son Lifetime Bar Suit Heats Up: SEC RoundupFormer SEC attorneys representing the two talk about their groundbreaking lawsuit challenging SEC enforcement practices.
December 27, 2024
From the Red Carpet: How Prudential Advisors Focuses on Underserved ClientsPrudential Advisors' Hasan Ibrahim discusses the company’s efforts to reach underserved clients and advisors.