In other news from last month, we found out that Brian Quintenz was nominated by President Trump to serve as the next CFTC Chair. See our synopsis on Quintenz below. If and when Quintenz is confirmed—TBD on when the Senate...more
3/3/2025
/ Banking Sector ,
CFTC ,
Coinbase ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Assets ,
Enforcement Actions ,
Executive Orders ,
FDIC ,
Federal Trade Commission (FTC) ,
Financial Institutions ,
Fraud ,
OCC ,
Securities and Exchange Commission (SEC) ,
Trump Administration
So, we’ll start off with our familiar and cherished Enforcement Roundup, touch on emergency funding for the CFTC’s Whistleblower Program, talk about the CFTC’s advisory on artificial intelligence, get you ready for updates to...more
1/6/2025
/ Artificial Intelligence ,
Bots ,
CFTC ,
Commercial Litigation ,
Corporate Governance ,
Enforcement Actions ,
Financial Services Industry ,
Government Shutdown ,
Machine Learning ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Technology Sector ,
Tokenization ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
With the CFTC still in the early stages of its fiscal year, in the month of November, we did not see a lot of action by way of publicly-released enforcement actions from the CFTC or enforcement-related public statements from...more
12/6/2024
/ Banks ,
CFTC ,
CFTC Enforcement Manual ,
Climate Change ,
COP ,
Derivatives ,
Derivatives Clearing Organizations ,
Digital Assets ,
Enforcement Actions ,
ETFs ,
Investigations ,
IOSCO ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Technology Sector ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
Zero Emission Credits
In a prior post, we discussed the recent proposed rules from the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) regarding certain non-public information reported to the SEC and...more
A Bloomberg article last week suggests potentially more bad news is on the way for Coinbase Global Inc. (“Coinbase”). Coinbase is reportedly facing an investigation by the U.S. Securities and Exchange Commission (“SEC”) into...more
8/11/2022
/ CFTC ,
Coinbase ,
Crypto Exchanges ,
Cryptoassets ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Digital Securities ,
Enforcement Actions ,
Illegal Tipping ,
Insider Trading ,
Investigations ,
Popular ,
Securities and Exchange Commission (SEC)