The Enforcement Division (Division) of the Securities and Exchange Commission released its Annual Report on November 6, 2019, summarizing the year’s enforcement activity. It was a record-setting year for the Division due to...more
12/3/2019
/ Annual Reports ,
Appointments Clause ,
Asset Management ,
Civil Monetary Penalty ,
Conflicts of Interest ,
Corporate Executives ,
Cybersecurity ,
Disgorgement ,
Enforcement Actions ,
Financial Institutions ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investment Companies ,
Investor Protection ,
Kokesh v SEC ,
Lucia v SEC ,
Publicly-Traded Companies ,
Restitution ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Share Class Selection Disclosure Initiative (SCSD) ,
Statute of Limitations ,
Suspensions & Debarments ,
Whistleblowers
Over the past two years, prices for cryptocurrencies and other digital assets have experienced extreme gains and declines, while billions of dollars have been raised through Initial Coin Offerings (“ICOs”). In this dynamic...more
2/1/2019
/ Anti-Money Laundering ,
Blockchain ,
CFTC ,
Civil Monetary Penalty ,
Commodities ,
Criminal Investigations ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Assets ,
Disgorgement ,
Distributed Ledger Technology (DLT) ,
Enforcement Actions ,
Entrepreneurs ,
Financial Regulatory Agencies ,
FinCEN ,
FinHub ,
Fraud ,
Initial Coin Offering (ICOs) ,
Investors ,
Misleading Statements ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Risk Management ,
Risk Mitigation ,
Sanction Violations ,
SDN List ,
Securities and Exchange Commission (SEC) ,
Securities Tokens ,
Startups ,
State Regulators ,
Token Sales ,
U.S. Treasury ,
Unregistered Securities ,
Utility Tokens