ATSs that trade NMS stocks should prepare for new Form ATS-N filings requiring substantial public disclosure of their operations and their broker-dealer operator’s ATS-related activities.
Summary -
On July 18, 2018,...more
Crypto trading platforms worldwide should be aware of recent SEC actions if they provide access to US persons or persons within the U.S. for trading.
Global financial regulatory authorities have begun to take action and...more
Crypto asset trading platform operators should prepare to comply with securities regulations if the crypto assets traded are securities.
Key Points:
..Finding that the digital assets traded on the BitFunder platform...more
The SEC’s latest enforcement action and its Chairman’s statement clarify the application of securities laws to ICOs and cryptocurrency markets.
Introduction -
On December 11, 2017, the US Securities and Exchange...more
SEC’s investigative report sends clear message that virtual transactions using innovative technologies are subject to the application of securities laws.
Introduction -
On July 25, 2017, the US Securities and Exchange...more
7/28/2017
/ Blockchain ,
Distributed Ledger Technology (DLT) ,
Enforcement Actions ,
FinTech ,
Initial Coin Offering (ICOs) ,
Market Participants ,
Popular ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Token Sales
Regulators responded to a narrow question about trading bitcoin-based securities, with orders that should not limit innovation in bitcoin technologies.
On March 10, 2017, the US Securities and Exchange Commission (SEC)...more
The plan would create a single database to enable regulators to track all trading activity in the US equity and options markets.
On April 27, 2016, the Securities and Exchange Commission (SEC) published for public...more
Cryptocurrency is on the rise...and so are enforcement actions.
In less than a decade, cyptocurrencies have grown from a novelty reserved for those dealing in the illicit into a robust platform embraced by financial...more
12/9/2015
/ Anti-Money Laundering ,
Bitcoin ,
BitLicense ,
CFTC ,
Cryptocurrency ,
Dodd-Frank ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
FinCEN ,
Popular ,
Securities and Exchange Commission (SEC) ,
Young Lawyers
The proposal would subject ATSs that effect transactions in listed stocks to significant new disclosure and transparency requirements.
On November 18, 2015, the US Securities and Exchange Commission (SEC) proposed rules...more
In the wake of reported security breaches at a number of significant financial institutions, cybersecurity is garnering more attention and concern than ever before — both within the financial services industry and among...more
2/27/2015
/ Banks ,
Corporate Counsel ,
Critical Infrastructure Sectors ,
Cybersecurity ,
Data Protection ,
Financial Institutions ,
Internet ,
NIST ,
OCIE ,
Popular ,
Securities and Exchange Commission (SEC) ,
SIFMA
Detailed rules will become effective February 2015, with compliance required by November 2015.
On November 19, 2014, the Securities and Exchange Commission (the Commission) adopted new rules for technology...more