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SEC Check-In: Four SEC Updates You Should Know About
The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.
SEC Announces Exam Priorities for 2023: What's the Focus?
The SEC has announced its examination priorities for 2023. Read the latest Joot blog to learn more about the priorities and the overlap in previous years.
The SEC Makes an Update to Their Marketing Rule FAQ: New Answers
The Securities and Exchange Commission’s Division of Investment Management issued another frequently asked question regarding the new Marketing Rule. Joot's compliance team breaks down the newest answer.
This Week in FinTech & Compliance #1: Trouble with Two Points
In this first installment of "This Week in FinTech & Compliance" we discuss the SEC's case against Two Points Capital and what it can teach RIAs.
This Week in FinTech & Compliance #3: The FTX Saga Continues
In this installment of "This Week in FinTech & Compliance", we take a look at the SEC's formal charges against FTX Co-Founder and former Co-Lead Engineer Nishad Singh and the implications it may have on the crypto community.
The Diplomat Versus the Enforcer Part 2: Working Towards a Common Goal
In part 2 of The Diplomat vs. The Enforcer, CEO Bo Howell continues the discussion about crypto regulations and oversight between the SEC and CFTC.
Why is Compliance Important?
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
Ten Jurisdictions Adopt New IAR Continuing Education Requirements
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
SEC Proposes Changes to Custody Rule
In mid-February the SEC announced proposed changes to the Custody rule in an effort to update and enhance investor asset protections. Read the Joot blog to learn more.
The Diplomat Versus the Enforcer Part 1: The Waves of Regulatory Diplomacy
Joot CEO and cofounder Bo Howell digs into the regulatory debate between the SEC and CFTC on the topic of crypto. Read on for part 1.
This Week in FinTech & Compliance #2: FTX & Crypto's Recent Rollercoaster Ride
In this second installment of "This Week in FinTech & Compliance" we provide some thoughts and commentary on the SEC's recent action against associates of crypto firm FTX.
Slaying the Dragon: Lessons from an SEC Crypto-Enforcement Action
Recently, the SEC brought an action against three cryptocurrency entities from Dragonchain. This case is a great example of the SEC's policy for crypto. Read on to learn why.