Year: 2019

The Commission resolved a long simmering issue by a 3-1 vote, adopting Regulation Best Interest which details the standard applicable when a broker-dealer or registered representative makes a recommendation to a retail customer. While the regulation was proposed in April …

SEC Regulation Best Interest for Brokers is Adopted Read More »

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Crypto currencies continue to be a key focus for the Commission. Using the analysis in the DAO Section 21(a) report which builds on the Howey investment contact test, the agency continues to bring actions alleging that crypto offerings are unregistered …

The Crypto Kin – A Security or Just a Well Promoted Coin? Read More »

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