Cryptocurrency

Ignoring SEC guidance comes with its own peril. Back in July 2017, the Commission cautioned the digital assets industry that many digital assets are securities ...

The Commission’s complaint alleged that Respondent received material, nonpublic information from Defendant A, one of his brokerage clients, about three confidential potential acquisitions of publicly-traded ...

According to a Stipulation for Consent Order filed by the CDS on March 3, 2019, the CDS alleges that, between December 2017 and February 2018, ...

A Russia-based research and rating firm has been charged by the SEC with failing to disclose that it was compensated by certain worldwide issuers whose ...

A Brooklyn financial analyst is pushing back against an SEC order freezing some $8 million in assets, saying his digital blockchain isn’t subject to Commission ...

SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets. In a July ...

A federal judge has frozen $8 million in assets of a self-described “financial guru” whom the SEC alleges bilked retail investors in a crypto-currency scheme. ...

SEC Wins Jury Trial Against Broker Charged with Insider Trading Litigation Release No. 24564 / August 15, 2019 Securities and Exchange Commission v. Thomas W. ...

The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...

SEC Bars Hedge Fund Manager Charged with Asset Mismarking and Insider Trading Litigation Release No. 24548 / July 29, 2019 Securities and Exchange Commission v. ...