The U.S. Securities and Exchange Commission (SEC) informs and protects investors and enforces federal securities laws. Our content is designed to help you understand and comply with SEC regulatory requirements.
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.
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.
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.
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.
The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022
The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.
Upcoming Feature from Joot Labs: SEC Exam and Audit Preparation Tool
The prospect of an SEC examination can send even the most diligent firms into a panic. Prepare, organize, and make SEC filings with confidence using Joot's upcoming SEC Exam and Audit Preparation Tool.