Cryptocurrency

Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sought ...

The CFTC is actively policing the virtual currency markets and will vigorously enforce the anti-fraud provisions of the Commodity Exchange Act. In addition to harming ...

We are seeking to harmonize our ultimate securities-based swap rules with the CFTC, where appropriate, to increase effectiveness as well as reduce complexity and costs. ...

I believe that the CFTC’s response to the spectacular rise of virtual currencies has been a balanced one. Doing nothing would have been irresponsible. Had ...

The CFTC Complaint alleges that from approximately January 2017 to the present, McDonnell and CDM engaged in a deceptive and fraudulent virtual currency scheme to ...

Specifically, the Complaint alleges that, from approximately April 2017 through the present, Defendants, who have never been registered with the CFTC in any capacity, have ...

Until the questions identified above can be addressed satisfactorily, we do not believe that it is appropriate for fund sponsors to initiate registration of funds ...

FINRA has released its 2018 regulatory and examination priorities letter. The 10-page letter includes new topics as well as ongoing focus areas. Fraud, high-risk firms ...

These proceedings arise out of insider trading by Chiera in the securities of URS Corporation (“URS”) based on material, nonpublic information that Chiera obtained from ...

Regulators’ interest in bitcoin and other virtual currencies just took another big step.   The National Futures Association now requires CPOs and CTAs to “immediately ...