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Dealer charged with offering and selling unregistered security-based swaps
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
Cipher Technologies ($28M in AUM) in Greenwich, Conn., keeps pitching to the SEC its idea to start a closed-end bitcoin fund but once again the ...
Know state escheatment laws work both ways
RELEASE Number 8053-19 October 16, 2019 CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets. In a July ...
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...
FINRA still wants to hear if your firm has any current or planned activities tied to digital assets, including cryptocurrencies and other virtual coins and ...
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...
Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for...
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...
The Complaint specifically alleges that since at least May 1 through October 31, 2017, the defendants used a website and accounts at popular social media ...
One of the biggest obstacles preventing investment advisers from investing in FinTech and digital currencies is a familiar nemesis: the custody rule. “It’s mind bogging ...
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges presented by ...
We at the CFTC believe in the power of markets to be the best determinate of the value of technology-driven innovation.
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 ...
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 ...
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 ...
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 legal ...
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 custody ...
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody Rule.
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