#InvestorProtection

Senate committee member urges clearer digital-asset rules, praises SEC leadership and calls for capital-formation bills A member of the Senate Committee on Banking, Housing, and Urban Affairs welcomed SEC official Jer Atkins and urged Congress to pass the Senate's Clarity Act and the Empowering Main Street in America Act to provide regulatory certainty for digital assets and revive U.S. capital formation.

1 month ago

A Senate committee member is pushing for clearer rules on digital assets, arguing that current regulations are driving innovation overseas and calling for legislative changes to empower U.S. businesses.

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#US #CapitalFormation #InvestorProtection #DigitalAssetRegulation

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Senators press SEC chair on Chinese issuers, PCAOB access and possible delistings Several senators warned that China-based firms listed in U.S. markets can shield audits and limit oversight; Chairman Atkins pointed to new PCAOB board members and an SEC concept release on foreign private issuers as steps toward addressing inspection and disclosure gaps.

1 month ago

Senators are raising alarms over $1 trillion in U.S. investor capital tied to Chinese companies that could be hiding crucial audit information from regulators.

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#US #InvestorProtection #RegulatoryOversight #CitizenPortal #AuditTransparency #USChineseIssuers

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Senate committee and SEC chair push for "clarity" on digital assets and tokenization Senators and SEC Chairman Paul Atkins pushed for congressional legislation to define the regulatory boundary between the SEC and CFTC, adopt a token taxonomy, and enable tokenized securities and sandboxes so U.S. firms can compete globally while maintaining investor protections.

1 month ago

SEC Chairman Paul Atkins warns that a clear federal framework for crypto is crucial for investor certainty and innovation, urging Congress to act swiftly.

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#US #InvestorProtection #CitizenPortal #USDigitalAssets #RegulatoryClarity #InnovationExemptions

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Speaker at House Financial Services Hearing Accuses SEC Chair Atkins of Favoring Wall Street over Retail Investors An unidentified speaker at a House Financial Services hearing accused Securities and Exchange Commission Chairman Atkins of withdrawing investor protections, cutting staff and aligning with the president, asserting the agency has avoided investigations into alleged market abuse.

1 month ago

Alarming accusations have surfaced at a House hearing, claiming SEC Chairman Atkins is prioritizing Wall Street over everyday investors, reversing essential protections and enabling potential market abuse.

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#US #InvestorProtection #CitizenPortal #FinancialRegulation

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Citizen Portal News Georgia

@citizenptnewsga.bsky.social

1 month ago

Committee Approves Bill to Move Securities Oversight to Department of Banking and Finance The Banking and Finance Committee advanced House Bill 934 to transfer state securities and commodities oversight from the Secretary of State to the Department of Banking and Finance, after debate over implementation risks, data and IT migration, and the recent First Liberty investor losses.

Georgia's Banking and Finance Committee just advanced a controversial bill that could shift securities oversight from the Secretary of State, igniting fierce debates over investor protection and potential operational chaos.

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#GA #InvestorProtection #GeorgiaBanking

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Bakhtiari & Harrison

@bhseclaw.bsky.social

1 month ago

Why Are FINRA Firms Responsible to Supervise Their Financial Advisors?

Brokers do not operate on their own. They work inside firms. Those firms have duties. One of the most important duties is supervision. bhseclaw.com/blog/failure... #investorprotection #trustedsecuritieslawyers #bhseclaw

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Citizen Portal News Kentucky

@citizenptnewsky.bsky.social

1 month ago

Senate committee advances bill to require transparency and economic analysis from proxy advisers, 9-2 The committee voted 9-2 to report Senate Bill 183, which would require proxy advisory firms to disclose non-pecuniary bases for recommendations and supply written economic analyses when advice conflicts with a company's independent board; enforcement is tied to Kentucky consumer protection law.

Kentucky's Senate has just voted to ensure proxy advisers prioritize shareholder interests, demanding transparency and economic analysis behind their recommendations.

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#KY #CivicAccountability #InvestorProtection #CitizenPortal #EconomicTransparency

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John Bandler

@johntbandler.bsky.social

1 month ago

Many articles and people need to be in a different reference frame when they assess Bitcoin price drops.
Decide now who you will blame if it goes bust.
My short substack article.
open.substack.com/pub/johnband...

#cryptocurrency #cryptocurrencyregulation #bitcoin #investorprotection #AML

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Citizen Portal News Virginia

@citizenptnewsva.bsky.social

1 month ago

Subcommittee advances bill creating limited‑liability entities for blockchain DAOs after mixed testimony A Virginia subcommittee voted 5–3 to advance a bill creating a limited‑liability digital entity (LLD) to provide DAO token holders protections akin to LLCs after supporters argued it improves transparency and opponents raised liability concerns.

Virginia's subcommittee just took a groundbreaking step to create limited-liability digital entities for blockchain DAOs, igniting a fierce debate over investor protections and liability concerns.

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#VA #InvestorProtection #CitizenPortal #VirginiaBlockchain

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CFTC chair outlines rulemaking agenda: tokenized collateral, onshoring perpetual contracts and rescoping event-contracts rules CFTC Chairman Michael Selig detailed an agenda that directs staff to draft rules for tokenized collateral, create pathways to onshore perpetual contracts, clarify retail-leverage trading rules, convert an industry CEO council into a FACA advisory committee and withdraw a prior event-contracts proposal and advisory.

1 month ago

CFTC Chairman Michael Selig is shaking up the crypto landscape with bold new rules aimed at tokenized collateral, perpetual contracts, and retail trading transparency.

Get the details!

#US #MarketInnovation #UnitedStatesCFTC #CryptoRegulation #CitizenPortal #InvestorProtection

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Bakhtiari & Harrison

@bhseclaw.bsky.social

1 month ago

Most investors believe the system is designed to protect them and rules stop bad behavior. They believe firms supervise their brokers. They assume problems get fixed.

In theory, that is how investor protection should work. bhseclaw.com/blog/how-inv... #InvestorProtection #trustedsecuritieslawyers

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Bakhtiari & Harrison

@bhseclaw.bsky.social

2 months ago

What Is a TOD Account?

A TOD accoun is a type of account ownership designation that allows assets to pass directly to a named beneficiary upon the account holder’s death, without going through probate. How do they work? bhseclaw.com/blog/what-is... #trustedsecuritieslawyers #investorprotection

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Timelines

@hulio-ai.bsky.social

2 months ago

📝 Investor Protection: Limits foreign influence via proxy advisors.
🤖 AI Policy: Sets federal AI framework, counters state rules.
🌾 Food Security: Fights food price fixing.

#TrumpEO2025 #InvestorProtection #AIFramework #FoodSecurity
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John Bandler

@johntbandler.bsky.social

2 months ago

What does the future hold?
If it is crypto firm collapses and market meltdowns due to crypto, remember this article from the NYT, with key points and gift link in my substack
open.substack.com/pub/johnband...
#InvestorProtection #ethicsingoverment

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Transparency Task Force

@transparencytf.bsky.social

3 months ago

BetterFinance The European Federation of Investors and Financial Services Users

2/2 financial fraud, scams and market misconduct across Europe.

You can still book your place online for virtual access — registration is free and just a few clicks away 👇

betterfinance.eu/event/fraud-...

#Finance #FinancialCrime #Conference #AndyAgathangelou #BetterFinance #InvestorProtection

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Faruqi & Faruqi, LLP

@faruqilaw.com

3 months ago

SEC Enforcement Actions Reduced by 30% in 2025 Compared to the Prior Year - Faruqi & Faruqi LLP According to a report released by Cornerstone Research Inc. and the NYU Pollack Center for Law & Business, the SEC brought 30% fewer enforcement actions against public companies and subsidiaries in fi...

SEC Enforcement Actions Reduced by 30% in 2025 Compared to the Prior Year

Read Here 👉 faruqilaw.co/4rtxYhv

#Faruqilaw #SEC #FinancialRegulation #CorporateCompliance #BusinessLaw #WallStreet #MarketOversight #CorporateAccountability #RegulatoryTrends #InvestorProtection #LawAndBusiness
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Investurns.com

@investurns.bsky.social

3 months ago

The QuadrigaCX Mystery: Crypto's Hard Lesson in Transparency Remembering the QuadrigaCX Mystery and the Need for Transparency It sounds like the plot of a Hollywood thriller. A young, tech-savvy CEO. A booming new industry. Hundreds of millions of…

The QuadrigaCX Mystery: Crypto's Hard Lesson in Transparency #proofofreserves #Bitcoincoldwallet #cryptoregulationCanada #cryptoexchangesecurity #lostcryptofunds #selfcustodycrypto #GeraldCotten #QuadrigaCXcollapse #investorprotection #Canadiancryptoexchange

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Joseph V. Scorese - Nationwide Asset-Based Lender

@josephvscorese.bsky.social

3 months ago

How to Protect Returns with Reserve Structures Excellent question — this is something sophisticated investors, syndicators, and private lenders alike are focusing on more in 2025-2026. Let’s break it down clearly: 💡 What “Reserve Structures” Mean ...

How to Protect Returns with Reserve Structures

#RealEstateInvesting #ProtectYourReturns #ReserveStructures #CashFlowProtection #AssetManagement #RiskMitigation #InvestorProtection #RehabReserves #CapExReserves #OperatingReserves

www.linkedin.com/pulse/how-pr...

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Investurns.com

@investurns.bsky.social

3 months ago

Regulatory Clarity: The Key to Institutional Investment The Trillion-Dollar Question: Is Big Money Finally Coming to Crypto? Imagine a massive dam holding back a vast reservoir of water. On one side, you have trillions of dollars in…

Regulatory Clarity: The Key to Institutional Investment #DeFiregulation #CryptoRegulation #financialservicesinnovation #blockchainpolicy #investorprotection #SECguidelines #WallStreetcrypto #digitalassetframework #cryptomarketstructure #institutionaladoptioncrypto

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BasisPointInsight.com - Why the Swiss Court’s AT1 Ruling Shouldn’t Influence YES Bank Case by TK Arun AT1 bonds carry the risk of abatement. In order to compensate for this risk, the bonds offer rates of interest higher than regular bonds. by TK Arun, BasisPointInsight.com

4 months ago

3/3 🔹What precedent would a reversal set for future bank resolutions?

Read TK Arun's column for BasisPoint:
Why the Swiss Court’s AT1 Ruling Shouldn’t Influence YES Bank Case 👇

#AT1Bonds #YesBank #FinancialRegulation #InvestorProtection #PublicInterest #BankingReform #SystemicRisk #IndiaEconomy

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BasisPointInsight.com - YES Bank Additional Tier-1 Bonds: Fading From Public Memory? by Mint Owl YES Bank’s revival masks unresolved questions over its AT-1 bond write-off, as investors await a Supreme Court verdict that could reshape regulation. by Mint Owl, BasisPointInsight.com

4 months ago

1/3 YES Bank’s Revival Masks a Bigger Test — One Still Pending in Court

Sumitomo Mitsui’s recent ₹160 billion stake in YES Bank has revived confidence in the institution — and is being hailed as a regulatory success story.

#AT1Bonds #YesBank #BankingRisk #InvestorProtection

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Citizen Portal News Kansas

@citizenptnewsks.bsky.social

4 months ago

Kansas banking regulator cites "significant and repeated" statutory violations at BFF, proposes corrective action Kansas Bank Commissioner David Herndon told the Joint Committee on Fiduciary Financial Institutions Oversight that his office's 07/23/2025 examination of Beneficient Fiduciary Financial (BFF) found significant and repeated violations of Kansas statutes and regulations. OSBC has delivered a final report to BFF's board (Oct. 22) and said it will send

Kansas Bank Commissioner David Herndon has unveiled "significant and repeated" violations at Beneficient Fiduciary Financial, raising alarms about its future as a regulated entity in the state.

Get the details!

#KS #InvestorProtection #FinancialRegulation #CitizenPortal #KansasBanking

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BasisPointInsight.com - SEBI Must Hold The Line On MF Fees by Srinath Sridharan SEBI’s proposed overhaul of mutual fund rules is a long-overdue reset that puts transparency and investor value at the centre of the industry’s economics. Now, the regulator must hold its idea. by Sri...

4 months ago

3/3 🔹Will SEBI’s push finally put savers before sellers in Indian fund economics?

Read @ssmumbai.bsky.social’s column for BasisPoint: SEBI Must Hold The Line On MF Fees

#InvestorProtection #Transparency #Governance #MarketReform #FinancialInclusion #IndiaMarkets

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@robsonlee.bsky.social

4 months ago

MAS’ new initiative to enhance investor recourse is timely. Focus on clear breaches, independent assessment, mediation, and accountability for long-term impact. #InvestorProtection #MAS #SingaporeFinance

Read more:- www.linkedin.com/posts/nus-bu...

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SEC Filing Data

@secfilingdata.bsky.social

4 months ago

What are key IPO risk disclosures? Identify and disclose potential risks to protect investors. Learn from other IPOs: www.secfilingdata.com/sec-form-typ...

#IPORiskDisclosures #InvestorProtection #RiskManagement #SECFilings #IPOProcess #FinancialTransparency #CorporateGovernance

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