Compliance and Oversight

Why This Course is Important
Without this course, you may lack critical understanding of new SEC exemptions, compliance requirements, and the evolving legal standards shaping crypto asset offerings—potentially resulting in missed capital opportunities or heightened regulatory risk.

Course Details
This is a self-paced eLearning course based on the Federal Register Document titled Regulation Crypto Assets.

Key regulatory references include:

• 17 CFR Part 200 – Organization; Conduct and Ethics; and
  Information and Requests
• 17 CFR Part 201 – Rules of Practice
• 17 CFR Part 228
• 17 CFR Part 230 – General Rules and Regulations, Securities Act of 1933
• 17 CFR Part 232 – Regulation S-T—General Rules and Regulations for Electronic Filings

Course SKU
FR-26-2164-1