Topic SEC

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.

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 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.

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.

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.

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.

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 for 2022. Read the Joot blog and find out which jurisdictions affect you.

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.

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.

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.

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.