At Joot, we're here to help you comply with SEC rules and regulations. Our content is designed to provide you with easy-to-understand regulatory advice and insights.
Understanding the Regulatory Landscape of Crypto: Part 3
In part 3 of our deep dive into the regulatory landscape of crypto, we look at the global developments of crypto and speculate what's next for decentralized finance.
Implementing the New Form CRS: Don’t Overlook the Details
In June 2019, the SEC announced Regulation Best Interest (Reg BI), the long-awaited standard that was meant to be the industry’s answer to the now-vacated Department of Labor Fiduciary Rule.
Top 5 Highlights of the New DOL PTE 2020-02 Requirements
Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.
Understanding the Regulatory Landscape of Crypto: Part 1
In this installment of the Joot blog regtech series, we continue our discussion of the state of cryptocurrency and analyze the regulatory landscape of crypto and decentralized finance.
The True Cost of Regulatory Non-Compliance
What is the cost of non-compliance? How much should an RIA spend on compliance? Are these compliance tools and services worth it? The answers to these questions become clearer when we look at both the direct and indirect impact of examination and enforcement actions taken by the SEC.