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SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...
Rooney purchased Vera Bradley stock and options using material, nonpublic information that he obtained from a senior employee of Vera Bradley (the “Vera Bradley Executive”), ...
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 ...
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 Commission’s complaint alleged that Payton committed insider trading by trading on material, nonpublic information that he received in breach of a duty regarding the ...
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 ...
In slide decks used to solicit investment in Canada, in the United States, and elsewhere, NextBlock and Tapscott falsely represented that as many as four ...
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.
The benefits of self-reporting to the SEC can be seen in the latest Commission enforcement action involving an unregistered initial coin offering. A Washington, D.C.-based ...
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 ...
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