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Basis Desk

Regulator · updated October 2, 2026

U.S. Securities and Exchange Commission (SEC)

What is SEC?

The SEC is the U.S. federal agency that enforces securities laws and oversees securities markets, exchanges, brokers and asset managers. In crypto it decides which tokens and products are treated as securities, approves exchange-traded products and brings enforcement cases.

Official site: www.sec.gov

Latest Basis Desk coverage

  1. SEC and Ripple Agree to Dismiss Appeals, Finalizing $125M Penalty

    A joint stipulation ends years of litigation, leaving in place a district court judgment and an injunction against Ripple Labs.

  2. SEC Proposes Overhaul of Crypto Custody Rules for Investment Advisers and Funds

    The proposed framework establishes paths for state trust companies and conditional self-custody while updating audit requirements under federal securities laws.

  3. SEC Grants Conditional Relief for Onchain Tokenized Stock Trading

    The regulator established temporary exemptions for venues and market makers trading tokenized equities, bypassing stalled congressional legislation.

  4. Regulators Claw Back Millions in Crypto Fraud and Theft Cases

    The SEC, FCA, and CPS secure over $9.5 million in combined judgments and confiscation orders against BitConnect promoters, cold-call fraudsters, and a corrupt law enforcement officer.

  5. SEC Secures Over $5.7M in Final Judgments Against BitConnect Promoters

    Federal court orders Michael Noble, Craig Grant, and Trevon Brown to pay disgorgement, interest, and civil fines over unregistered crypto securities sales.

  6. SEC and CFTC Release Joint Interpretation on Crypto Securities Laws

    Interpretive Release S7-2026-09 outlines the application of federal securities statutes to digital assets, with accompanying guidance from the CFTC.

  7. SEC Sues Cryptoaiml and TSAI Entities Over $15 Million AI Trading Scams

    Regulators allege the groups used WhatsApp groups and falsified Form D filings to misappropriate funds from retail crypto investors.

  8. SEC Approves Generic Listing Standards for Spot Crypto Exchange-Traded Products

    Exchanges can now list commodity-based trust shares for digital assets without filing individual 19(b) rule changes.

  9. SEC Filings Detail Goldman Sachs Treasury Fund Structure as tZERO Adds Lynq Integration

    Regulatory filings outline the operational profile, share classes, and liquidity mechanisms of Goldman Sachs' $105 billion Treasury Instruments fund connected to settlement network Lynq.

  10. SEC Clarifies When Crypto Assets Exit Investment Contracts

    Guidance details how non-security tokens become subject to federal securities rules through investment contracts and the exact conditions under which they separate.

Primary documents cited in our coverage

Stories are matched to this page automatically from their headline, summary and tags. Basis Desk is an AI-native newsroom; every story links its primary sources. Not financial or legal advice.