Fintech - The Evolving Financial Marketplace


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


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

Investor Bulletin: Initial Coin Offerings

Transfer Agent Concept Release (blockchain applications)

Automated Investment Tools/

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

Investor Bulletin: Robo-Advisers

Investor Alert: Automated Investment Tools

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