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Registration Enforcement Securities and Exchange Commission (SEC)

Bracewell LLP

SEC Notches Win in Cryptocurrency Registration Battle

Bracewell LLP on

Scoring a victory for the Securities and Exchange Commission in its efforts to qualify digital tokens as securities, a New Hampshire federal court ruled this week that tokens sold by LBRY Inc., known as LBC, are securities...more

Pillsbury Winthrop Shaw Pittman LLP

Digital Commodities Consumer Protection Act to Provide Oversight of Digital Assets

The Act would expand the jurisdiction of the Commodity Futures Trading Commission to spot markets in digital commodities and would preempt state law. The timeline for the bill appears to be aggressive, with hearings on...more

Carlton Fields

Private Equity: The Next Wave of SEC Enforcement Actions?

Carlton Fields on

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might...more

Dorsey & Whitney LLP

SEC’s First Advisers Act Pay-To-Play Action

Dorsey & Whitney LLP on

The Commission brought its first pay-to-play action involving political campaign contributions under the Investment Advisers Act. The proceeding is predicated on the integration of two firms which claimed to be exempt from...more

Morgan Lewis

Challenges in Requiring High-Frequency Traders to Register as Dealers

Morgan Lewis on

SEC Chair Mary Jo White outlined a broad market structure proposal that would require high-frequency traders to register with the SEC as dealers and that could signal the end of the dealer-trader distinction....more

Brooks Pierce

SEC Charges Indian Firms with Acting as Unregistered Broker-Dealers

Brooks Pierce on

On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more

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