News & Analysis as of

Initial Coin Offering (ICOs)

SEC, NASAA, and State Regulators Caution on Cryptocurrencies and ICOs

by K&L Gates LLP on

If 2017 was the year that cryptocurrencies came to the forefront of public attention, 2018 will be the year that this emerging medium of exchange enters a new phase of regulatory scrutiny. As an example, on January 4, 2018,...more

FINRA’s 2018 Regulatory and Examination Priorities Letter Includes Initial Coin Offerings and Cryptocurrencies

On January 8, 2018, the Financial Markets Regulatory Authority (“FINRA“) published its 2018 Regulatory and Examination Priorities Letter which identifies topics that FINRA will focus on in the coming year. Included for the...more

Virtual Currency -- NFA Reporting Requirements and CFTC Proposed Interpretation of “Actual Delivery”

by K&L Gates LLP on

National Futures Association(NFA) is requiring that member commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) immediately notify NFA if they operate a pool or manage an account that engages in a...more

Bridging the Week - January 2018 #2

FINRA Announces 2018 Examination Priorities; Will Review Role of Firms and Salespersons in Facilitating Cryptocurrency Transactions and ICOs: The Financial Industry Regulatory Authority issued its 2018 Regulatory and...more

Data Privacy + Cybersecurity Insider - January 2018 #2

by Robinson & Cole LLP on

Health Care Organizations Saw an 89% Increase in Ransomware in 2017 - Our experience last year is consistent with the conclusion of a new report issued by Cryptonite in its 2017 Health Care Cyber Research Report—that the...more

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU DevelopmentsCorporate...

BROKER-DEALER - FINRA Releases 2018 Regulatory and Examination Priority Letter - On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing...more

Capital Markets & Public Companies Quarterly: 2018 Proxy Season Pointers, Disclosing the “Tax Cuts and Jobs Act,” Shareholder...

by McDermott Will & Emery on

The end of a year and beginning of the next generally starts the countdown to the public company proxy season. But before moving into 2018, registrants would be well served by first looking back to the guidance that came out...more

Regulators Continue to Scrutinize Initial Coin Offerings

by Carlton Fields on

As reported in the most recent issue of Expect Focus, the SEC issued an investigative report in July cautioning market participants that distributed ledger (blockchain) technology-based offers and sales of digital "tokens" or...more

More Of An SRO - FINRA Unveils Its Priorities For 2018

On January 8 the Financial Industry Regulatory Authority (FINRA) published its Annual Regulatory and Examination Priorities Letter, which highlights key areas of focus for FINRA in the coming year. ...more

Initial Coin Offerings and Cryptocurrencies Will be a Priority for FINRA in 2018

In a ten page letter that previews the Financial Industry Regulatory Authority’s (FINRA) priorities for 2018, initial coin offerings (ICOs) and transactions involving cryptocurrencies....more

Financial Services Weekly News - January 2018

by Goodwin on

Editor's Note - A Busy Holiday Season. We hope that all of you had a happy holiday season and wish everyone a happy, healthy and prosperous new year. While the Roundup has been on hiatus during the holidays, the federal...more

SEC Chairman Jay Clayton Releases Statement on Cryptocurrencies and Initial Coin Offerings

by Shearman & Sterling LLP on

Chairman of the US Securities and Exchange Commission Jay Clayton released a public statement regarding cryptocurrencies and initial coin offerings (ICOs). In the statement, Chairman Clayton notes rapid growth in these areas...more

Blockchain, Virtual Currencies and the Regulators

by Dorsey & Whitney LLP on

The public interest in anything relating to virtual currencies, blockchain technology or bitcoin is not just very high bit reaching near hysteria. For example, the Long Island Iced Tea Corporation saw its share price jump as...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

AT&T has dropped plans to sell the Mate 10—the newest smartphone from China’s Huawei Technologies—just before the partnership was to be announced. AT&T gave no reasons for its abrupt reversal, but lawmakers have recently...more

Massachusetts Securities Regulator Announces “Aggressive Policing” of Cryptocurrency Firms

by Goodwin on

On December 15, 2017, Massachusetts Secretary of State William Galvin announced that his office’s Securities Division (“MSD”) would begin “aggressive policing” of cryptocurrency sales in Massachusetts. The MSD regulates the...more

FINRA Targets ICOs and Digital Currencies in Annual Broker Exam Priorities Letter

by Goodwin on

On January 8, 2018, the Financial Industry Regulatory Authority (FINRA) released its 2018 Annual Regulatory and Examination Priorities Letter (Exam Priorities Letter) for its broker-dealer members. In the Exam Priorities...more

SEC Cyber Unit Increases Efforts to Regulate Crypto-Currency

by Nossaman LLP on

Based on how 2017 ended, entities and individuals in the crypto-currency markets should expect increased scrutiny from the United States Securities and Exchange Commission (“SEC”) in 2018. The SEC’s Cyber Unit commenced its...more

SEC Scrutinizes Pumping of Blockchain-Related Securities

by Reed Smith on

The U.S. Securities and Exchange Commission (“SEC”) is continuing to increase its scrutiny of companies that might be taking advantage of investor excitement for blockchain and cryptocurrency (ICO) deals to inflate their...more

SEC's Recent Order Narrows the Path for "Utility Tokens"

by Slim Ventures LLC on

The following summarizes the recent Order by the U.S. Securities and Exchange Commission requiring that a “utility token” issued in an Initial Coin Offering (ICO) carry an expectation of use, not an expectation of profits, in...more

UK Financial Conduct Authority Rules Out New Rules for Distributed Ledger Technology

by Shearman & Sterling LLP on

The Financial Conduct Authority has published a feedback statement on Distributed Ledger Technology, following the discussion paper it issued in April 2017....more

New Year Brings Flurry of Regulatory Statements and Warnings Directed at Cryptocurrencies and ICOs

by Goodwin on

On the same day that a meteorological blizzard slammed the Eastern Seaboard, U.S. financial regulators unleashed their own flurry of statements and warnings surrounding initial coin offerings (ICOs) and cryptocurrencies....more

SEC Brings Enforcement Actions Against Promoters of Initial Coin Offerings

by Hirschfeld Kraemer LLP on

Throughout the latter half of 2017, the SEC became increasingly focused on regulating securities law violations involving blockchain technology and initial coin offerings. A blockchain is an electronic distributed ledger...more

Bridging the Week - January 2018

CFTC Issues Explanation of Its Oversight and Approach to Virtual Currency Markets; Texas Securities Board Enjoins Initial Coin Offering: The Commodity Futures Trading Commission issued a “Backgrounder” last week, summarizing...more

Blockchain Energizer – Vol. 20 – The Year in Review

by K&L Gates LLP on

In 2017, the Blockchain Energizer highlighted the latest developments in blockchain technology and use cases for the energy industry, covering everything from peer-to-peer energy trading platforms and financing platforms for...more

Digital Finance and Marketplace Lending Year in Review

Top Five 2017 Takeaways From Manatt’s Digital Finance and Marketplace Lending Team - 2017 was a banner year for digital finance, as cryptocurrency made headlines, the SEC cracked down on ICOs, alternative lenders broadened...more

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Cybersecurity

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