DID YOU KNOW
The SEC formed the Distributed Ledger Technology Working Group to build expertise; identify emerging risk areas, and coordinate efforts among the SEC’s divisions and offices. The approximately 75 members of the working group also assist in coordination with federal, state, and local law enforcement and regulatory partners and liaising with industry.
SEC Fintech Forum
The SEC hosted a forum to discuss innovation in the financial services industry Nov. 14, 2016, at SEC headquarters in Washington, D.C.
Forum panels discussed issues such as blockchain technology, automated investment advice or robo-advisers, online marketplace lending and crowdfunding, and how they may impact investors.
Webcast Archives
Fintech Forum Webcast Archive Part 1
Fintech Forum Webcast Archive Part 2
Fintech Forum Transcript
Sunshine Act Notice
Press Release Announcing Fintech Forum
Press Release Announcing Fintech Forum Agenda and Panelists
Crowdfunding
Starting May 16, 2016, companies were able to use crowdfunding to offer and sell securities to the investing public.
Regulation Crowdfunding Final Rule Investor Bulletin: Crowdfunding for Investors
Blockchain/Distributed Ledger
On July 25, the SEC issued an investigative report today cautioning market participants that ICOs may be subject to federal securities laws.
Press Release: SEC Report on DAO Tokens and ICOs
Automated Investment Tools/
Robo-Advisers
On a mobile device or a desktop computer, investors can access a broad range of automated investment tools. With ease-of-use also comes risk.
Guidance Update: Robo-Advisers
Email Updates
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