Law ❯ Financial Law ❯ Securities Law

Regulatory Compliance

Enforcement Actions Crypto Regulations Penalties Prohibited Activities Market Manipulation Laws Violations International Trade Law Investor Protections Legal Proceedings Settlement Procedures Legal Challenges Tokenized Securities Regulation CFTC and SEC Coordination Exemptions Documentation Requirements Conflict of Interest No-Action Letters Broker-Dealer Obligations Joint Initiatives Tokenized Assets Crypto Assets Shariah Law DeFi Regulations Custody Regulations Investigations Transfer Agent Requirements

SEC Proposes Major Rewrite of Transfer‑Agent Rules to Cover Tokenized Securities

The draft lets transfer agents use electronic and blockchain records, seeks public comment on wallet identity and legal ownership, tightens disclosure and safeguard rules.

SEC Sends Crypto Custody Amendments to White House for Review

SEC Subpoenas Banks After Near‑Collapse of AI Hedge Fund Situational Awareness

SEC Rolls Out Innovation Exemption and Five-Category Token Rules

SEC Moves to Limit OTC Quote Rule to Equities, Invites Crypto Feedback

SEC Panel Backs Conditional Tokenized-Stock Trading as Chair Eyes Innovation Exemption

SEC Pushes Short‑Sale and Securities‑Lending Reporting to 2028–2029 After Fifth Circuit Remand

SEC Pushes Short-Sale and Securities-Lending Reporting to 2028–2029