With offerings across a growing number of online platforms and increased trading volume, NFT issuers, promoters, and buyers should consider the legal and regulatory implications relating to NFTs and federal securities laws....more
6/16/2021
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
FinHub ,
FinTech ,
Howey ,
Investment ,
Investment Contract ,
Non-Fungible Tokens (NFTs) ,
Securities ,
Securities Act of 1933 ,
Smart Contracts
Investigations into financial services companies are expected to heat up during the 117th Congress, with Democratic leadership already signaling interest -
With a newly seated Democratic majority in both chambers, we...more
3/1/2021
/ Congressional Committees ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
FinTech ,
Popular ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Tax Benefits
The Securities and Exchange Commission (SEC) took an important step in its steady march of enforcement actions involving digital assets. On November 8, 2018, the SEC announced that Zachary Coburn, the founder of crypto token...more
New York Attorney General’s Office publishes a detailed report on policies and practices at virtual asset trading platforms, citing multiple common deficiencies -
The New York Attorney General’s Office (“NYAG”) issued a...more
U.S. Treasury Report Recommends Congressional and Regulatory Support of Technological Innovation for FinTech and Nonbank Financial Services Industries -
The Department of the Treasury (“Treasury”) released a sweeping...more
On July 31, 2018, the Office of the Comptroller of the Currency (“OCC”) announced that it would begin accepting applications for national bank charters from FinTech entities that satisfy the licensing requirements for...more
House Financial Services Committee Votes To Repeal And Replace Dodd-Frank -
On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more
10/5/2016
/ Broker-Dealer ,
Class Action ,
Commercial Real Estate Market ,
Consumer Financial Protection Bureau (CFPB) ,
Cyber Threats ,
Dodd-Frank ,
Enforcement Actions ,
Financial Institutions ,
FinTech ,
FSOC ,
OCC ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Whistleblowers