State securities regulators approve update to marketing rules to match SEC

The proposal aims to level the playing field between state and federally registered investment advisors.
Financial Advisor

Former SEC Enforcement Chief Warns Congress Of 'Regulation By Enforcement,' Urges Guardrails

A former senior Securities and Exchange Commission enforcement official told lawmakers Tuesday that the agency has “lost its way” on fairness in recent years and must adopt formal internal safeguards to prevent enforcement actions from substituting for ...
JD Supra

SEC issues groundbreaking interpretation on crypto asset regulation

After more than a decade of regulatory uncertainty, on March 17, 2026, the US Securities and Exchange Commission (SEC) issued an interpretation clarifying how federal securities laws apply to crypto assets and that most crypto assets are not securities ...
Financial Planning

FSI calls on SEC to end 'regulation by enforcement' as agency reopens

As the SEC moves closer to fully reopening along with other parts of the federal government, wealth management groups are calling for policies to end what they deem "regulation by enforcement." Processing Content The Financial Services Institute, a ...
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SEC Ripple case could show why crypto needs clearer rules

The legal battle between the US Securities and Exchange Commission (SEC) and Ripple Labs has dragged on for nearly five years. It is one of the most closely monitored cases as the court decides whether selling XRP broke US securities laws. When people ...
JD Supra

SEC Continues Focus on Regulation A

In what may be indicative of the Securities and Exchange Commission’s renewed focus on small business capital formation, one of the topics that the staff (the “Staff”) of the Commission’s Division of Corporation Finance (the “Division”) is ...
Financial Advisor

FSI Renews Call For SEC To End 'Regulation By Enforcement'

The Financial Services Institute has asked the SEC to adopt formal rules that "ensure fairness, transparency and predictability in its enforcement practices." The request came in a letter sent by FSI President and CEO Dale Brown to SEC Chairman Paul Atkins ...
InvestmentNews

SEC updates Regulation Crowdfunding interpretations, clarifying platform moves, disqualification and rolling limits

On Feb. 17, 2026, the US Securities and Exchange Commission’s Division of Corporation Finance published revised Compliance and Disclosure Interpretations (C&DIs) on Regulation Crowdfunding. The five Regulation Crowdfunding interpretations dated Feb. 17 ...