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Cryptocurrency

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 ...
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 ...
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 ...
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 disapproval ...
Respondents immediately halted the offering when contacted by the Commission staff and undertook a review of CAM’s website, marketing materials, and offering procedures. In addition, ...
Because the digital tokens issued in the ICOs and traded by Respondents included securities, the Respondents’ activities required broker-dealer registration with the Commission. By effecting ...
Here's a portion of an OCIE document request letter dealing with cryptocurrencies.
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 ...
Christopher Collins learned of the negative clinical trial results on the evening of June 22, 2017 in an email from Innate’s CEO to the board ...
FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors and market integrity. ...
The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA Watch, ...
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff.   ...
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies.   The exam letter probes ...
The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
Robert Stewart recruited his friend, defendant Richard T. Cunniffe to place trades based on inside information that Robert received from his son, Sean Stewart, an ...
Mizuho failed to maintain and enforce effective information barriers between the International Desk and the U.S. Desk to prevent the sharing of issuer buyback order ...
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, ...
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 ...
In October and November of 2015, Johnson misappropriated material nonpublic information about the proposed acquisition from his relative (“Individual A”), a certified public accountant who ...
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