entity · derived
Sec
Derived node: assembled mechanically from the claims carrying sec. A roster, not an adjudicated definition.
Every claim under this term
- 1428387-033 : Mandatory risk disclosure to the SEC would probably fail on staffing grounds, because professionals capable of understanding hedge fund risk data would be disincentivized to use that knowledge for sup
- 1428387-034 : Requiring hedge funds to supply risk and valuation data in a simplified format would in fact impose a significant burden on the industry, since simplification requirements would raise transaction cost
- 1664809-001 : In securities regulation the SEC has continuously expanded its extraterritorial reach, and it has done so with strong support from the judiciary, most notably the Second Circuit Court of Appeals.
- 1806252-016 : Even if hedge fund investing does have systemic implications, systemic risk is multifaceted enough that addressing it could require more than one regulator in a single jurisdiction, so the SEC alone m
- 1806252-017 : The SEC would be better advised to interpret the rulemaking authority it received from Congress than to increase requirements on hedge funds in order to address concerns over potential systemic risk.
- 1806252-018 : A lack of regulatory guidance creates legal uncertainty, and legal uncertainty in turn generates transaction costs.
- 2389423-011 : Based on these findings, adviser size may not matter as much for policy adjustments and SEC rule making as the hedge fund industry and its representatives have claimed.
- 2389423-012 : Title IV mandates hedge fund adviser registration in order to increase record keeping and disclosure, requiring advisers above the statutory AUM threshold to register as investment advisers and to dis
- 2447306-004 : If advisers' allegations that Form PF disclosures cannot be answered other than by guessing are correct, then the SEC's capacity to evaluate the data is compromised, and regulation built on incomplete
- 2470008-014 : Form PF data was tailored primarily for the FSOC rather than for the SEC's own purposes, a design choice that shaped the level of reporting required.
- 2470008-022 : The SEC itself reports that the consistency of investment advisers' responses on Form PF is not ensured and may be questionable.
- 2470008-023 : Advisers take different approaches and make different assumptions when completing Form PF, which the SEC identifies as a further challenge to the usability of the data.
- 2470008-024 : The SEC's initial analysis of Form PF data turned up anomalies attributed to filer error, which prompted SEC concern about the quality of the information private fund advisers report.
- 2740477-040 : The notice and comment procedures of the SEC are too slow, and the SEC's outdated micromanagement of markets is itself slowing down venture capital.
- 2998033-012 : The SEC's denial of the Winklevoss Bitcoin exchange traded fund on grounds of susceptibility to fraud reflects the agency's distrust of the crypto asset class as a whole, and especially of funds that
- 2998033-013 : The SEC's reasoning against the Bitcoin exchange traded fund does not transfer to blockchain based private investment funds, because such funds trade a diverse array of cryptocurrencies rather than Bi
- 3002908-011 : Despite early cautioning and a call for action from its own commissioners, the SEC has not addressed core issues pertaining to the recognition of blockchain technology applications in finance.
- 3002908-012 : The SEC rejected the Winklevoss Bitcoin ETF application on the ground that the unregulated nature of Bitcoin made the proposed fund susceptible to fraud.
- 3067615-029 : The lack of a regulatory framework creates significant legal uncertainty in the ICO market, and because cryptocurrencies are censorship-resistant and arguably regulation-resistant by design, that unce
- 3411110-025 : The SEC has developed neither blockchain-specific offering disclosure standards nor retail investor protection measures particular to blockchain based offerings, leaving issuers without guidance.
- 3411110-027 : Despite an early call for regulatory leadership from Commissioner Stein in 2015, the SEC has not addressed core recognition questions for blockchain in finance, including cryptocurrencies, tokens as s
- 3411110-028 : The SEC's rejection of the Winklevoss Bitcoin ETF, reasoned on Bitcoin's unregulated nature and susceptibility to fraud, reflects agency distrust of the crypto asset class as a whole rather than a nar
- 3411110-032 : Self regulatory organizations occupy a distinctive position, holding some regulatory authority while remaining beholden to the SEC, which makes them the right actors to educate the SEC toward a more c
- 3782216-025 : Centralized securities bureaucracies are slow to update their regulations, so those regulations often hurt the very people they were designed to help.
- 3808873-023 : Government controlled regulation of the evolving digital asset space was perhaps the leading decentralization neutralizer of the early 2020s, as regulators sought to fit decentralized solutions into e
- 4529715-008 : The absence of clear regulatory direction from the SEC and state governments helps explain why many DAOs take minimal action to establish regulatory compliance within their organizations.
- 5454054-021 : Making LER rewards utility-only and non-transferable, in the manner of soulbound tokens, is what keeps them functioning as loyalty incentives rather than speculative assets and is what aligns them wit
- 5454054-023 : LER can be engineered outside the Howey test by keeping reward units consumptive as discounts or credits, non-yielding, unmarketed for appreciation, and by disabling secondary trading.