Topic Regulations

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.

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SEC Check-In: Four SEC Updates You Should Know About

03/16/2023

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Charles Black

Managing Director, Head of Compliance Services, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

Understanding the Regulatory Landscape of Crypto: Part 2

In this installment of the Joot blog regtech series, we continue our analysis of the regulatory landscape of crypto and decentralized finance.

Bo Howell

Cofounder, Managing Director, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Bo Howell

Cofounder, Managing Director, Joot

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.

Bo Howell

Cofounder, Managing Director, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

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.