News & Analysis as of

FinTech Securities Regulation Broker-Dealer

Skadden, Arps, Slate, Meagher & Flom LLP

House Bill on Digital Asset Market Structure Would Significantly Change SEC’s Jurisdiction

On May 5, 2025, several House committees jointly released a discussion draft of a bill to establish a regulatory framework for digital assets. Notably, this proposed Act would clarify the jurisdictional boundaries between the...more

Morgan Lewis

SEC Issues FAQs on Broker-Dealer Crypto Asset Activities, Transfer Agent Blockchain Use

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The Staff of the Division of Trading and Markets of the US Securities and Exchange Commission issued on May 15, 2025 responses to Frequently Asked Questions Relating to Crypto Asset Activities and Distributed Ledger...more

Morrison & Foerster LLP

Charting a New Course for Digital Asset Securities

On May 15, 2025, the Division of Trading and Markets (the “Division”) of the U.S. Securities and Exchange Commission (SEC) and the Office of General Counsel of the Financial Industry Regulatory Authority, Inc. (FINRA)...more

Eversheds Sutherland (US) LLP

SEC Chairman Atkins champions crypto innovation

On Friday, April 25, 2025, newly sworn in SEC Chairman Paul S. Atkins spoke for the first time in his new role at the SEC’s third roundtable in its series discussing crypto asset regulation called Know Your Custodian: Key...more

Mayer Brown Free Writings + Perspectives

SEC Crypto Task Force Holds Roundtable on Crypto Custody

On March 25, 2025, the Securities and Exchange Commission (“SEC”) held a Crypto Task Force roundtable to explore regulatory considerations surrounding custody of crypto assets through broker-dealers and other financial...more

A&O Shearman

IOSCO publishes consultation report on neo-brokers

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The International Organization of Securities Commissions (IOSCO) has published a consultation report on neo-brokers, a subset of brokers which provide online-only investment services and do not operate physical branches....more

Latham & Watkins LLP

The SEC’s Crypto Task Force Charts a New Course

Latham & Watkins LLP on

Commissioner Hester Peirce outlined 10 priorities for the Crypto Task Force, aiming for regulatory clarity while promoting innovation in digital asset markets....more

Seward & Kissel LLP

SEC v. Coinbase: “On to the Second Circuit We Go”

Seward & Kissel LLP on

The see-saw court battle over whether Coinbase is an unregistered securities exchange/broker-dealer/clearing agency has flipped, this time with the SEC dropping low. On January 7, 2025, the U.S. District Court for the...more

Wilson Sonsini Goodrich & Rosati

Five Issues for Wealthtech Companies to Consider Under the U.S. Securities Laws

Companies in the growing “wealthtech” space often face novel regulatory and legal issues under the federal securities laws. Wealthtech companies blend traditional asset management and brokerage services with new technologies:...more

Polsinelli

Blockchain+ Bi-Weekly - February 2024 #2

Polsinelli on

The Blockchain Bi-Weekly presented by the Polsinelli Blockchain+ team is a rundown of some of the key stories in the Web3, blockchain and crypto ecosystems curated by our attorneys navigating the intersections of code, smart...more

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