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Initial Coin Offerings (52)
Your search for Initial Coin Offerings returned 52 results.
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5/21/2019 | Content area: Investment Adviser
One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to bitcoi...
5/09/2019 | Content area: Investment Adviser
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my arrival at t...
4/04/2019 | Content area: Investment Adviser
The SEC finds itself in a squeeze given its must abide by a 1946 Supreme Court decision defining a security when justices then couldn’t have even imag...
3/28/2019 | Content area: Investment Adviser
If there’s one key takeaway for advisers in the ABA’s new 353-page report on digital assets it’s that – wherever regulators stand on cryptocurrency le...
3/12/2019 | Content area: Investment Adviser
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody...
2/21/2019 | Content area: Investment Adviser
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A W...
11/21/2018 | Content area: Investment Adviser
The SEC has yet again offered up its current thinking on digital securities. On the same day that the Commission settled charges against two more comp...
10/25/2018 | Content area: CPO/CTA
Both the SEC and the CFTC have staked regulator claims in the burgeoning virtual currency space. Hand the CFTC a victory in a recent court ruling but ...
10/25/2018 | Content area: Broker-Dealer
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The ma...
9/27/2018 | Content area: Investment Adviser
The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the di...
9/13/2018 | Content area: Broker-Dealer
An investigative report issued by the SEC in July 2017 was clear in its message: offers and sales of digital assets by “virtual” organizations are sub...
9/11/2018 | Content area: Broker-Dealer
Because the digital tokens issued in the ICOs and traded by Respondents included securities, the Respondents’ activities required broker-dealer regist...
7/26/2018 | Content area: Investment Adviser
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes whether...
7/25/2018 | Content area: Investment Adviser
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
7/19/2018 | Content area: CPO/CTA
About one year after the SEC released an investor alert about initial coin offerings, the CFTC has followed suit with its own alert (IA Watch, July 27...
7/12/2018 | Content area: Broker-Dealer
FINRA is engaged in an effort to greater understand the extent to which brokerage firms are engaged in activities related to digital assets. The SRO i...
6/07/2018 | Content area: Investment Adviser
Titanium's website contained fabricated testimonials from corporate customers and that Stollaire publicly - and fraudulently - claimed to have relatio...
5/24/2018 | Content area: Investment Adviser
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated serie...
5/17/2018 | Content area: Investment Adviser
A “balanced approach” to initial coin offerings is being pursued by the SEC’s Division of Enforcement and across the Commission, reported Steven Peiki...
5/02/2018 | Content area: Investment Adviser
These look the most like securities. Their creator sells them as a means of raising funds. In one potential example, the issuer may want to build an...


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