Many advisors want default e-delivery of documents. The SEC could make that a reality.

The Securities and Exchange Commission submits a proposal to update how investors receive financial documents to the White ...
Law

Coinbase Urges Judge to Order SEC to Produce Documents

"Documents related to these communications bear directly on the claims the SEC now asserts and on Coinbase's fair notice defense," said Paul Grewal, Coinbase's chief legal officer. Two Am Law 100 ...
Reuters

Save your messages: SEC's focus on document retention continues into 2024

February 20, 2024 - When the United States Securities and Exchange Commission (SEC) suspects wrongdoing and kicks off an investigation, one of the most important steps is to obtain relevant documents ...
CoinDesk

SEC Can't Seal Docs Tied to Hinman's Ether Speech, Judge in Ripple Suit Rules

A federal judge ruled that the U.S. Securities and Exchange Commission cannot seal documents tied to former official William Hinman's 2018 speech on crypto and securities to Ripple in the regulator's ...
JD Supra

SEC Whistleblower Program: Reporting Securities Fraud and Market Manipulation

The U.S. Securities and Exchange Commission, commonly known as the SEC, operates a whistleblower program that allows ...
JD Supra

SEC Issues Policy Statement on Mandatory Arbitration Provisions in Governing Documents

On Sept. 17, the Securities and Exchange Commission (SEC) issued a Policy Statement stating that the SEC would henceforth declare effective registration statements of companies that provide for ...
GMA Network

SEC reduces corporate document fees by another 25%

The Securities and Exchange Commission (SEC) on Friday announced it has further reduced the cost of requesting copies of corporate documents by an additional 25% as part of efforts to ease doing ...