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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 ...
Hester Peirce
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.
In approximately August 2018, Gladius self-reported to Commission Enforcement staff. From the beginning of its discussions with Commission staff, Gladius expressed an interest in taking ...
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 that ...
In an effort “to understand similarities and distinctions between certain virtual currencies, including here Ether and Bitcoin,” the CFTC has issued a request for comment ...
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 ...
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 ...
The numerous state and federal regulators in the United States have taken a variety of approaches with respect to cryptocurrency, which makes it difficult for ...
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the world to ...
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 ...
A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The main ...
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...
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 division’s ...
It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to allegations ...
Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, for example, Senator ...
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