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Disclosure Requirements Regulatory Violations Securities Regulation

Troutman Pepper Locke

FINRA Continues to Scrutinize Customer Facing Communications on Crypto Offerings

Troutman Pepper Locke on

On July 16, TradeStation Securities, Inc., a member firm of the Financial Industry Regulatory Authority (FINRA), submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA’s Department of Enforcement. This AWC...more

Proskauer - Blockchain and the Law

SEC Halts DAO’s Registration of Two Stable Tokens as Securities, Alleging Material Deficiencies in the Disclosure

On November 10, 2021, the SEC announced that it had instituted proceedings against a Wyoming-based decentralized autonomous organization (DAO) to halt its registration of two digital tokens, alleging that disclosure in the...more

Stinson - Corporate & Securities Law Blog

Enforcement Action Reveals Misleading Customer Counts

In a settled enforcement action, the SEC resolved allegations related to non-monetary transactions regarding certain Comscore transactions.  The enforcement action also involved disclosures surrounding the number of...more

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