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Cryptocurrency (64)
Your search for Cryptocurrency returned 64 results.
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3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
2/20/2019 | Content area: Investment Adviser
In approximately August 2018, Gladius self-reported to Commission Enforcement staff. From the beginning of its discussions with Commission staff, Glad...
2/08/2019 | Content area: Investment Adviser
There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned t...
12/13/2018 | Content area: CPO/CTA
In an effort “to understand similarities and distinctions between certain virtual currencies, including here Ether and Bitcoin,” the CFTC has issued a...
12/06/2018 | Content area: CPO/CTA
It’s been two years since the NFA released it cybersecurity rules (CPO/CTA Watch, Feb. 23, 2016). Now the SRO is amending them to, among other things,...
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...
11/07/2018 | Content area: Investment Adviser
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it diffi...
11/01/2018 | Content area: Broker-Dealer
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the wor...
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...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
9/27/2018 | Content area: Broker-Dealer
It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to...
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...
9/24/2018 | Content area: Investment Adviser
Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, f...
9/13/2018 | Content area: Private Fund
A La Jolla, Calif.-based hedge fund manager touted a fund it offered as the “first regulated crypto asset fund in the United States.” Turns out that w...
9/12/2018 | Content area: Investment Adviser
Consider first the SEC’s recent decision to deny an exchange’s bid to list shares of the Winklevoss Bitcoin Trust.[12] I dissented from the disapprov...
9/11/2018 | Content area: Private Fund
Respondents immediately halted the offering when contacted by the Commission staff and undertook a review of CAM’s website, marketing materials, and o...
8/14/2018 | Content area: Investment Adviser
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
8/13/2018 | Content area: CPO/CTA
Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date for its n...


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