Law ❯ Financial Law ❯ Securities Law

Regulatory Compliance

Enforcement Actions Crypto Regulations Violations Penalties CFTC and SEC Coordination Crypto Assets Market Manipulation Laws Exemptions No-Action Letters Joint Initiatives

SEC Rolls Out Innovation Exemption and Five-Category Token Rules

The shift signals a move from case-by-case crackdowns to clear rules for on-chain finance.

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

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

SEBI Proposes 30-Day Lag on Stock Price Data for Investor Education

Government Tables Securities Markets Code Bill, To Face Finance Panel Review

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

SEBI Proposes Rs 10 Lakh Threshold to Ease Duplicate Securities Claims

Morgan Stanley Fined $15M by SEC for Failing to Prevent Client Fund Theft

SEBI Fines Reliance Securities ₹9 Lakh for Regulatory Violations