ollowing the approval and launch of Bitcoin Exchange Traded Funds (EFTs) in January 2024, the U.S. Securities and Exchange Commission (SEC) approved eight Ethereum ETFs for listing and trading on SEC-regulated exchanges on...more
Sender Primary Liability for Misstatements in PPMs and Prospectuses: Lorenzo v. SEC (No. 17-1077 -- U.S. – 2019).
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for...more
4/5/2019
/ Corporate Officers ,
Custody Rule ,
Digital Assets ,
Directors ,
Enforcement Actions ,
Intent to Defraud ,
Investment Funds ,
Janus Capital Group Inc v First Derivative Traders ,
Lorenzo v SEC ,
No-Action Relief ,
Personal Liability ,
Proposed Rules ,
Puerto Rico ,
Retirement Plan ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud