The SEC is working on rule proposals focused on special purpose acquisition companies (SPACs) that will require greater disclosures and transparency for investors. Amy Lynch, FrontLine’s Founder and President, explains that the SEC is honing in on areas where retail investors may be disadvantaged in these transactions versus institutional investors. Ms. Lynch describes areas of…
Retail investors relying on “social trading” platforms are looking for ways to level the playing field with hedge funds and other sophisticated money managers. While social trading seeks to benefit from the transparency of sharing ideas and digital engagement practices (DEP) via various platforms, for regulators it hinges on the question of what constitutes a…
A push by Robinhood to attract college students to its platform by offering cash giveaways is likely to create greater scrutiny by regulators. The SEC is already looking into the regulatory implications of the “gamification” impact with online trading platforms. Now with Robinhood’s new marketing strategy targeting traditionally less sophisticated and lower income college students,…
The segment of the digital asset market referred to as DeFi or decentralized finance, where investors lend out their digital coins, is being reviewed by the SEC. Coinbase’s crypto platform is being investigated by the regulator, which likely views the lending program as securitizing the crypto being used. FrontLine’s Founder and President Amy Lynch states…
While the SEC continues to receive a variety of public comments for its review of online trading platforms, it is taking a hard look at what disclosures investors have been provided. The regulator wants to determine whether investors engaging in online trading are aware of any conflicts of interest at these firms. as well as…