While SEC FinHub’s new framework announced last week for identifying crypto-securities suggests continued resistance for those using digital assets to access capital markets, an SEC no-action letter issued the same day to...more
4/11/2019
/ Blockchain ,
Capital Markets ,
Digital Assets ,
Distributed Ledger Technology (DLT) ,
Howey ,
Initial Coin Offering (ICOs) ,
No-Action Letters ,
Offerings ,
Popular ,
Regulation A ,
Regulation D ,
Regulation S ,
Regulatory Agenda ,
Securities ,
Securities and Exchange Commission (SEC) ,
Token Sales
On January 22, 2019, FINRA released its 2019 Annual Risk Monitoring and Examination Priorities Letter (the “Priorities Letter”). Late last year, as part of FINRA360 – the organization’s ongoing improvement initiative – FINRA...more
2/22/2019
/ Anti-Money Laundering ,
BSA/AML ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Initial Coin Offering (ICOs) ,
Online Distribution ,
Online Platforms ,
Popular ,
Regulation D ,
Risk Management ,
Rule 506(c) ,
Token Sales