On September 27, 2022, 15 broker-dealers and one investment adviser agreed to pay more than $1.8 billion in total civil penalties to the US Securities and Exchange Commission (SEC), and, for those same companies or affiliates...more
10/5/2022
/ Broker-Dealer ,
CFTC ,
Civil Monetary Penalty ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Electronic Communications ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
Investment Adviser ,
New Guidance ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps ,
Text Messages
Senators Kirsten Gillibrand (D-NY) and Cynthia Lummis (R- WY) introduced new proposed legislation on June 7, 2022, which would classify the vast majority of digital assets as commodities, and empower the Commodities Futures...more
6/14/2022
/ CFTC ,
Commodities ,
Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
FERC ,
FinTech ,
Infrastructure Investment and Jobs Act (IIJA) ,
Investment Contract ,
NIST ,
Proposed Legislation ,
Securities and Exchange Commission (SEC)
For those longing for the heady days of the cryptocurrency free-for-all, this November is proving to be the start of the winter of your discontent.
The US Commodity Futures Trading Commission (CFTC) and the US Securities and...more
12/6/2018
/ Blockchain ,
CFTC ,
Cryptoassets ,
Cryptocurrency ,
Cybersecurity ,
Initial Coin Offering (ICOs) ,
Popular ,
Regulatory Agenda ,
Securities ,
Securities and Exchange Commission (SEC) ,
Smart Contracts ,
Token Sales
Two important events occurred in the cryptocurrency space last week. The Chairman of the US Commodity Futures Trading Commission (CFTC) gave a speech regarding regulators’ role in effectively supervising markets in the era...more
11/14/2018
/ Blockchain ,
CFTC ,
Commodities ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Distributed Ledger Technology (DLT) ,
Enforcement Actions ,
Regulatory Oversight ,
Securities ,
Securities and Exchange Commission (SEC)