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Today's Popular Updates Securities & Exchange Commission

A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +
A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous thirty days. less -

CFTC Continues Federal Crackdown On Virtual Currency Fraud Schemes

by Fox Rothschild LLP on

On January 18, 2018, the Commodity Futures Trading Commission announced two enforcement actions as part of a continuing crackdown on virtual currency fraud schemes by numerous federal agencies. (We have previously written...more

FinTech Update: Emerging Legal Trends Regarding Blockchain Technology

by Burr & Forman on

Over the course of the past few years, Blockchain technology – a platform that acts as a digital ledger for assets – has rapidly grown in prominence. While it is perhaps most well-known for its connection to Bitcoin, the...more

Supreme Court Certiorari Grants: Winter 2018 Term

by Faegre Baker Daniels on

1. Redistricting. Abbott v. Perez, Nos. 17-586 & 17-626. Do Texas’s Congressional districts treat racial minorities unconstitutionally? When the district court ordered the parties to appear at a hearing to redraw the...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

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

Will Big Cyber Hacks Cause The SEC To Issue New Guidelines?

by Ifrah PLLC on

Following a change of heart from a top Securities and Exchange Commission regulator, public companies will likely soon face new guidelines for how they report cybersecurity breaches to investors. SEC Corporate Finance...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 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

Business Litigation Alert: "Legal Issues to Watch in 2018"

by Porter Hedges LLP on

Last year was filled with many headline-making issues. As we begin to look at 2018, here are three issues we are closely tracking....more

The SEC and Plaintiffs’ Class Action Attorneys Are Targeting Initial Coin Offerings

by Fenwick & West LLP on

Issuers and other professionals participating in Initial Coin Offerings — widely known as ICOs — are facing the increasing threat of both U.S. Securities Exchange Commission enforcement actions and private class action suits...more

The Future of Financial Crime and Enforcement is Cyber-Based

by K&L Gates LLP on

On November 8, 2017, federal prosecutors in the Eastern District of New York indicted Joseph P. Willner—a securities trader from Pennsylvania—for securities fraud, money laundering, and associated conspiracy charges related...more

SEC Enforcement Division Announces its 2018 Priorities and 2017 Results

The Securities and Exchange Commission’s Division of Enforcement (the “Division”) has published its annual report for fiscal year 2017 (the “Report”). The Report discusses the Division’s key initiatives and results in 2017...more

Year in Review: Top Cryptocurrency Stories of 2017

After lingering on the periphery of financial markets for the past several years, cryptocurrency has finally started to move into the mainstream. While the explosion in Bitcoin’s value dominated the news headlines,...more

The Form 8-Ks That The SEC May Have Overlooked

by Allen Matkins on

As reported by Cydney Posner, Broc Romanek and undoubtedly many others, Corporation Finance staff issued a new Compliance and Disclosure Interpretation addressing whether a re-measurement of a deferred tax asset to...more

CyberSECurity – The SEC Increases Data and System Protection Work

by Locke Lord LLP on

The U.S. Securities and Exchange Commission is at the center of the current day “cyber storm” of data and system protection, both as a victim and as a regulator. According to an SEC director, “[c]yber-related threats and...more

The SEC and Securities Plaintiffs' Bar Take Aim at Initial Coin Offerings

by BakerHostetler on

These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and Exchange Commission (“SEC”) and the securities plaintiffs’ bar to take notice....more

Alibaba Securities Class Action Reinstated

The Second Circuit recently revived a putative securities class action against Alibaba Group Holding Ltd. and four of its top executives for alleged material misrepresentations in connection with the company’s $25 billion...more

Investment Crowdfunding Exemptions: Understand What You Can and Cannot Do to Advertise Your Offering

by Ward and Smith, P.A. on

This article expands upon a recent overview of the securities law exemptions commonly used for investment crowdfunding campaigns. The six distinct exemptions or "paths" outlined below are the most commonly used by...more

Retail and Consumer Products Law Roundup - December 2017

The Battle Over CFPB Leadership Continues - Although the first round in the battle over leadership of the Consumer Financial Protection Bureau went to President Donald Trump’s pick for the position, the fight continues,...more

Crackdown: SEC's New Cyber Unit Targets Blockchain and ICO Abuses

by Jones Day on

The Situation: The U.S. Securities and Exchange Commission has launched a special unit to bring enforcement actions against several forms of cyber misconduct. The Result: The Cyber Unit has already brought enforcement...more

Cybersecurity 2018 – The Year in Preview: International Law and Cyber Warfare

Editors’ Note: This is the seventh in a multi-part end-of-year series examining important trends in data privacy and cybersecurity during the coming year. Previous installments include analyses of HIPAA compliance, emerging...more

Cybersecurity 2018 – The Year in Preview: Financial Institutions and the SEC

Editors’ Note: This is the eighth in a multi-part end-of-year series examining important trends in data privacy and cybersecurity during the coming year. Previous installments include analyses of HIPAA compliance, emerging...more

Four Key Takeaways from the SEC’s Bitcoin and Cryptocurrency Statement

Over the past few months, there has been a great deal of excitement among investors about Bitcoin and other cryptocurrencies. This excitement intensified in recent weeks as Bitcoin values rose 1800% and the Chicago Mercantile...more

Massachusetts Announces ICO Sweep

The Massachusetts Securities Division has announced that it will conduct an exam sweep of Massachusetts entities engaged in initial coin offerings (ICOs). In the announcement, released on Friday, Massachusetts Secretary of...more

Regulation of Initial Coin Offerings

by White & Case LLP on

With cryptocurrencies on the rise, start-up companies increasingly pursue a novel path to raise capital: the Initial Coin Offering ("ICO"). The frequent notion that ICOs are unregulated is misleading. Regulators have been...more

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