The SEC’s Proposed Crypto Custody Rule: A Path Out of the Regulatory Gray Area
Since Bitcoin emerged in 2008, crypto assets have developed from an experimental payment technology into a significant market encompassing cryptocurrencies,…
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SEC Regulation Crypto Assets Proposal: A Guide to the SEC’s Proposed Framework for Crypto Offerings
The U.S. Securities and Exchange Commission has proposed “Regulation Crypto Assets,” a new framework intended to make federal securities rules…
Read MoreCalifornia’s SB 574: The First California AI Rules for Lawyers
California is close to putting generative AI obligations for lawyers into a statute. Senate Bill 574 (SB 574), authored by…
Read MoreSEC Withdraws Several Proposed Regulations
On June 12, 2025, the SEC withdrew fourteen regulations that were proposed over the past three years, stating they have…
Read MoreNASAA Updates Model Rule to Restrict Use of the Term ‘Advisor’
In early April 2025, NASAA amended its model rules for Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct…
Read MoreAmendments to FINRA Rule 3240: Key Changes and Takeaways
FINRA recently announced in Regulatory Notice (“Reg. Notice”) 24-12, amendments to Rule 3240 (the “Rule”) which generally prohibits borrowing from…
Read MoreNew Reporting Requirements Under the Corporate Transparency Act
Beginning January 2024, several new laws began to take effect, impacting various professionals - specifically those U.S. businesses and entities…
Read MoreSEC Rules 3a5-4 and 3a44-2 Requiring Registration of Liquidity-Providing Persons as “Dealers”
On February 6, 2024, the Securities and Exchange Commission (“SEC”) adopted Rules 3a5-4 and 3a44-2 (“Final Rules”) defining the phrase…
Read MoreGet Inside the Amendments to Insider Trading Safe Harbor Rules
On December 14, 2022, the Securities and Exchange Commission adopted amendments[1] to Rule 10b5-1 of the Securities Exchange Act of…
Read MoreADVISOR ALERT: California DFPI Proposes New Rule to Adopt the NASAA’s Continuing Education Model Rules for IARs
On November 16, 2022, the California Department of Financial Protection and Innovation (“DFPI”) proposed new regulations under the Corporate Securities…
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