On Oct. 23, 2020, the U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN) and the Board of Governors of the Federal Reserve System (FRB) (FinCEN and the FRB


Continue Reading FRB and FinCEN Propose Significant Amendments to Recordkeeping and Travel Rule Regulations

On Oct. 7, 2020, the U.S. Securities and Exchange Commission (SEC) held an open meeting and issued a notice proposing a conditional exemption from securities broker-dealer registration under Section 15


Continue Reading SEC Proposes Exemption from Registration for Finders


Continue Reading Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56

On Aug. 26, 2020, the Securities and Exchange Commission adopted amendments to its Regulation D to cautiously expand the definition of “accredited investor” in the Commission’s rules. The change will


Continue Reading SEC Amends the ‘Accredited Investor’ Definition