‘Enforcement 40’ for 2020
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By Securities Docket on June 5, 2019, 9:58 am
Investors will soon learn more about conflicts of interest that can bias investment advice under a regulatory action that is expected to be completed on Wednesday. Less clear is whether it would disrupt how brokers are paid. The Securities and Exchange Commission plans to vote Wednesday on what it calls Regulation Best Interest, which says […]
By Securities Docket on June 5, 2019, 7:36 am
In the past, the SEC has ruled on cryptocurrencies stating that as long as the currency is decentralized it is not a security. William Hinman, head of the Division of Corporation Finance at the SEC, has previously stated that Bitcoin and Ethereum are not securities because they are decentralized, meaning there is no third party […]