On February 28, 2023, the National Futures Association (NFA), the self-regulatory organization for U.S. derivatives market participants, submitted to the Commodity Futures Trading Commission (CFTC) for approval a new...more
3/17/2023
/ CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Compliance ,
Derivatives ,
Digital Assets ,
Digital Currency ,
Futures ,
Jurisdiction ,
Market Participants ,
National Futures Association ,
Proposed Rules
On February 15, 2023, the Securities and Exchange Commission (SEC) released a proposed rulemaking (the Proposal) that would transform existing Rule 206(4)-2 (the Custody Rule) under the Investment Advisers Act of 1940 (the...more
As we have previously discussed, the SEC’s Fall 2022 “Reg Flex” Agenda charts the agency’s planned rulemaking through Q1 2023. Among this ambitious and wide-reaching agenda are two important final rulemakings concerning the...more
2/14/2023
/ Brokers ,
CFTC ,
Dodd-Frank ,
Major Swap Participants ,
Proposed Rules ,
SBS Entities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
Speaking at the International Blockchain Congress in Chicago on February 6, 2020, SEC Commissioner Hester Peirce proposed a safe harbor from U.S. securities laws so that developers of blockchain protocols could offer and sell...more
2/19/2020
/ Accredited Investors ,
Blockchain ,
Distributed Ledger Technology (DLT) ,
EDGAR ,
Exemptions ,
Howey ,
Initial Public Offering (IPO) ,
Issuer Exemption ,
Notice Requirements ,
Proposed Rules ,
Registration Requirement ,
Regulation A ,
Regulation D ,
Regulatory Standards ,
Safe Harbors ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Token Sales