Cryptocurrency

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 ...

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 ...

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, ...