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Two Exceptions to FTC’s Non-Compete Ban | ThinkAdvisor
ThinkAdvisor· 2 days agoNotably, the FTC’s definition of senior executive is more limited than the Securities and Exchange ...
Like Leveraged ETFs? SEC Panel Wants Brokerage Firms to Vet Who Can Trade Such ‘Complex Products.’
Barrons.com· 19 hours agoThe commission’s Investor Advisory Committee wants regulators to first come up with a definition for...
Crypto’s Latest Privacy Battle
CoinDesk via Yahoo Finance· 3 days agoAt the end of May the U.S. Security and Exchange Commission's (SEC) newest mass surveillance tool – the Consolidated ...
Securing Integrity: The SEC and DOJ’s Unified Front and Pursuit of Novel Legal Tactics Against...
JD Supra· 3 days agoThe U.S. Securities and Exchange Commission (“SEC”) and Department of Justice (“DOJ”) have been working increasingly ...
GameStop stock plummets as ‘Roaring Kitty’ rambles on live stream
Washington Post· 16 hours agoThe influential investor’s widely anticipated live stream started 25 minutes late, with pounding...
Court Hands Private Equity, Hedge Funds a Win on SEC Fee Rules
The Wall Street Journal· 3 days agoA federal court in New Orleans handed Wall Street a win Wednesday, striking down a set of rules the...
Should Finfluencers Be Regulated as Financial Advisors?
Barrons.com· 2 days agoAs a practical matter, even if a finfluencer could be subject to SEC oversight as an advisor, they...
House passes Financial Innovation and Technology for the 21st Century Act | JD Supra
JD Supra· 5 days agoWhile we do not expect that FIT21 will be passed by the Senate, it...
Biden Vetoes Bill Overturning SEC Crypto Accounting Standard SAB 121 – Here's What That Means
Cryptonews· 7 days agoPresident Joe Biden has vetoed a resolution aimed at overturning the U.S. Securities and Exchange ...
SEC, FinCEN Propose CIP Rules for Investment Advisers | JD Supra
JD Supra· 3 days agoThe Securities and Exchange Commission (SEC) and U.S. Department of the Treasury’s Financial Crimes Enforcement Network ...