On January 23, 2025, President Trump issued an executive order entitled “Strengthening American Leadership in Digital Financial Technology,” establishing his Administration’s policy “to support the responsible growth and use...more
1/31/2025
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Assets ,
Executive Orders ,
FinTech ,
Popular ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Stablecoins ,
Technology Sector ,
Trump Administration
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the...more
5/26/2023
/ Books & Records ,
Broker-Dealer ,
CFTC ,
Electronic Communications ,
Employees ,
Financial Institutions ,
Instant Messaging Apps ,
Investigations ,
Investment Adviser ,
Mobile Apps ,
Mobile Devices ,
Policies and Procedures ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Swap Dealers
To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than...more
10/31/2019
/ Anti-Corruption ,
CFTC ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Government Investigations ,
Market Abuse ,
Popular ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Strategic Enforcement Plan
Over the past couple of years, the crypto industry has come under heavy scrutiny from skeptical regulators seeking to root out fraud and protect investors amid the initial coin offering boom that generated over $4 billion in...more
10/31/2018
/ Bitcoin ,
Blockchain ,
CFTC ,
Coinbase ,
Cryptocurrency ,
Custody Rule ,
Department of Financial Services ,
Digital Assets ,
Digital Currency ,
ETFs ,
Exchange-Traded Products ,
Financial Institutions ,
Initial Coin Offering (ICOs) ,
Innovation ,
Investment Companies ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
State Regulators ,
Virtual Currency