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Let’s Talk Disclosure: Division Of Corporation Finance’s Statement On Offerings And Registration Of Securities In The Crypto Asset Markets, SEC Commissioner Hester M. Peirce, April 10, 2025

Date 10/04/2025

Today, in furtherance of our investor protection mission, the Division of Corporation Finance clarified how the federal securities laws apply to certain offerings and registrations of securities in the crypto asset markets. The Division’s statement does not address whether something is or is not a security but provides guidance for issuers of securities. Offerings and registrations for which this statement may be relevant involve equity or debt securities of issuers whose operations relate to networks, applications, or crypto assets. Other offerings and registrations for which this statement may be relevant involve crypto assets offered as part of or subject to an investment contract. Registration or qualification is not required in connection with an offering of a crypto asset if the crypto asset is not a security and not part of or subject to an investment contract. The statement reflects the Division’s observations regarding disclosures provided in response to existing requirements and takes into account crypto-related disclosure questions the Division has received.

Remarks At The 44th Annual SEC Small Business Forum, SEC Commissioner Caroline A. Crenshaw, Washington D.C., April 10, 2025

Date 10/04/2025

Good afternoon. It’s a pleasure to be here today. And it’s hard to imagine a more important week to focus on small businesses.

It has never been easy to be a small business owner. But, after the whipsawing market events of last week, you could perhaps say there are few times in recent memory when it has been more stressful to be a small business. Even with a reprieve, uncertainty and unpredictability are generally bad for business.

Offerings And Registrations Of Securities In The Crypto Asset Markets, SEC Division Of Corporation Finance

Date 10/04/2025

As part of an effort to provide greater clarity on the application of the federal securities laws to crypto assets, the Division of Corporation Finance is providing its views about the application of certain disclosure requirements under the federal securities laws to offerings and registrations of securities in the crypto asset markets. These offerings and registrations may involve equity or debt securities of issuers whose operations relate to networks, applications, and/or crypto assets. These offerings and registrations also may relate to crypto assets offered as part of or subject to an investment contract (such a crypto asset, a “subject crypto asset”). The Division recognizes that Acting Chairman Mark T. Uyeda formed the Crypto Task Force to help the Commission develop a comprehensive and clear regulatory framework for crypto assets, including addressing applicable registration and disclosure requirements. The Division is issuing this statement to provide its views during the pendency of these deliberations.

Cats, Trees, And SRCs: Remarks At The SEC’s 44th Annual Small Business Forum, SEC Commissioner Hester M. Peirce, Washington D.C., April 10, 2025

Date 10/04/2025

Good afternoon and thank you to the participants in the Commission’s 44th Annual Small Business Forum and to today’s panelists. This annual forum is a wonderful opportunity to bring together the perspectives of a broad range of market participants. Before I begin, I must remind everyone that my views are my own as a Commissioner and not necessarily those of the Securities and Exchange Commission or my fellow Commissioners.

Gearing Up To Improve Small Business Capital Formation - Stacey Bowers, Director, SEC Office Of The Advocate For Small Business Capital Formation, Opening Remarks At The SEC’s Small Business Forum, Washington D.C., April 10, 2025

Date 10/04/2025

Good afternoon and welcome to the SEC’s 44th Annual Small Business Forum. I’m Stacey Bowers, Director of the SEC’s Small Business Advocacy Office, and we are thrilled to welcome you to this important event and to be doing so in person here at the SEC’s headquarters. I want to extend a warm welcome to all of our attendees and exhibitors for joining us this afternoon, whether here in the auditorium or online.

Remarks At The 44th Annual Small Business Forum, Mark T. Uyeda, SEC Acting Chairman, Washington D.C., April 10, 2025

Date 10/04/2025

Good afternoon. It is my pleasure to welcome everyone to this year’s Small Business Forum (“Forum”), which is the first Forum held at SEC headquarters since 2016 and the first in-person Forum since 2019. I hope that everyone takes advantage of the in-person interactions and networking opportunities this afternoon.

Acting CFTC Chairman Pham Statement On Confirmation Of SEC Chairman Paul Atkins

Date 10/04/2025

Commodity Futures Trading Commission Acting Chairman Caroline D. Pham today issued the following statement: 

“Congratulations to Paul Atkins on his confirmation as Chairman of the Securities and Exchange Commission. I have known and worked together with Paul and his team for over a decade. His outstanding leadership is inspiring. I look forward to continuing to work together on smart regulation that drives U.S. economic growth and greater opportunity for the American people.”

Superintendent Of New York Department Of Financial Services Adrienne A. Harris Secures $40 Million Settlement With Block, Inc. For Inadequate Anti-Money Laundering Program And Virtual Currency Compliance Failures On Cash App Platform

Date 10/04/2025

• DFS Investigation Found Insufficient Customer Identification Procedures and Transaction Monitoring Led to Increased Money-Laundering Risk
• Settlement Requires Block to Hire an Independent Monitor to Oversee Compliance Improvements

New York Attorney General James Urges Congress To Pass Federal Legislation To Regulate Cryptocurrencies - Letter Follows DOJ Announcement On Dismantling Of Crypto Fraud Enforcement

Date 10/04/2025

New York Attorney General Letitia James sent a letter to congressional leaders urging them to pass federal legislation to strengthen regulations on cryptocurrencies and digital assets. In her letter, Attorney General James warns that the lack of strong federal regulations on cryptocurrencies increases the risk of fraud, criminal activity, and financial instability. Attorney General James argues that federal regulations would bolster America’s national security, strengthen its financial markets, and protect investors from cryptocurrency scams, which now account for 10 percent of all financial fraud and 50 percent of all losses from financial fraud. To better protect cryptocurrency investors, Attorney General James urges Congress to pass legislation that would require cryptocurrency companies to make a series of commitments, including registering with a regulatory body and actively identifying and preventing fraud and scams. This letter comes after the U.S. Department of Justice announced the dismantling of federal criminal cryptocurrency fraud enforcement, making a robust regulatory framework all the more critical.

Fiserv To Release First Quarter Earnings Results On April 24, 2025

Date 10/04/2025

Fiserv, Inc. (NYSE: FI), a leading global provider of payments and financial services technology solutions, will announce its first quarter financial results before the market opens on Thursday, April 24, 2025.