The SEC has moved with stunning alacrity to put crypto regulation on a sustainable footing. Even as Congress continues to work on a market structure bill, there is still room for addition...
Less than two years after announcing a more aggressive approach to enforcement, the CFTC Division of Enforcement has issued a new policy on self-reporting and cooperation credit that repl...
Senator Hagerty’s new stablecoin bill – with bipartisan support – builds on several prior bills. The bill offers a compromise to a stumbling block in the last Congress: how to alloc...
Please join us for a discussion of the prospects for digital asset and blockchain companies, including those seeking to IPO, in the wake of the U.S. presidential election and anticipated...
Crafting a comprehensive regulatory framework for crypto will take time. But there are a few steps that the new SEC chair can immediately take to get the ball rolling.
The SEC finalized a package of amendments to Regulation National Market System (Reg NMS) to reduce minimum pricing increments (or “ticks”) for certain stocks to half-penny increments,...
The SEC expanded the scope of the Safeguards Rule, which already required broker-dealers, investment advisers and investment companies to have reasonably designed policies and procedures ...
In an important step forward, the House is set to vote on a bill that would establish a comprehensive regulatory framework for digital assets and offer important protections for customers...
While scaled back from the original proposal, the final rules expand the scope of firms required to register as dealers as a result of engaging in trading activity that has “the effect?...
Davis Polk partner Zach Zweihorn co-authored an update to a chapter in the second edition of Broker-Dealer Regulation, “What is a broker-dealer?”. The chapter discusses the Securities...
