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Category: Regulatory Update

Regulatory Update
New SEC No-Action Letter on Crypto Custody:...

Custody of crypto assets has long been one of the most challenging areas for regulated […]

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Regulatory Update
Beyond Howey: Navigating Digital Asset Compliance in...

Executive Summary The Securities and Exchange Commission (SEC) has announced the creation of the President’s […]

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Regulatory Update
SEC Enforcement Action Update: Fee Transparency and...

Who What When Why This Matters How CCOs Should Respond Despite the vacation of the […]

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Regulatory Update
Digital Assets in 2025: Reconciling Policy Posture...

Executive Summary 2025 has introduced a nuanced and evolving regulatory landscape for digital assets. While […]

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Regulatory Update
NASAA Proposes Updates to Marketing Rules

WHO WHAT WHEN WHERE WHY HOW The proposed model rule changes include: Implications for State‑Registered […]

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Regulatory Update
Regulatory News Update: FinCEN Delays Effective Date...

Who The Financial Crimes Enforcement Network (“FinCEN”), a bureau of the U.S. Department of the […]

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Regulatory Update
Regulatory Reset: What the SEC’s Withdrawal of...

Introduction: A Turning Point for Regulatory Strategy Published by CRC-Oyster, July 2025 On June 12, […]

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Regulatory Update
Custody Reinstated: What the Return of Bank...

Published by CRC-Oyster | July 2025 Executive Summary Beginning in 2020, under Acting Comptroller Brooks, […]

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Exterior view of the U.S. Securities and Exchange Commission building with flags
Regulatory Update
Breaking News Update: SEC Chair Paul Atkins...

What: SEC Chairman Paul S. Atkins delivered testimony before the U.S. Senate Appropriations Subcommittee, outlining […]

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CRC SEC and FINRA Withdraw 2019 Guidance on Broker-Dealer Custo
Industry News...
Regulatory Update: SEC and FINRA Withdraw 2019...

May 16, 2025 Regulatory Background The 2019 Joint Staff Statement was issued to address the […]

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CRC FinCEN Issues Southwest Border Geographic Targeting Order
Regulatory Update
FinCEN Issues Southwest Border Geographic Targeting Order...

Background: As some of you may know, the Trump Administration has recently identified and designated […]

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Regulatory News Update: SEC Charges 12 Firms with Recordkeeping Violations
Regulatory Update
Regulatory News Update: SEC Charges 12 Firms...

What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]

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Regulatory News Update: The SEC Charges 12 Municipal Advisors with Recordkeeping Violations
Regulatory Update
Regulatory News Update: The SEC Charges 12...

What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]

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CRC SEC Charges 9 RIAs Related to Ad Rule Violations title on US Securities and Exchange Commsion building image
Regulatory Update
Regulatory News Update: SEC Charges 9 RIAs...

The SEC charged nine registered investment advisers with violating the Marketing Rule by disseminating advertisements […]

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Regulatory News Update The Trend Continues – SEC Fines Twenty-Six Firms More Than $390 Million Combined for Recordkeeping Failures Title on US Securities Image
Regulatory Update
Regulatory News Update: The Trend Continues –...

What: The SEC announced charges against 26 firms (broker-dealers, investment advisers, and dually-registered broker-dealers and […]

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