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On July 29, 2025, the Securities and Exchange Commission (SEC) signaled a significant policy shift, approving orders that permit in-kind creations and redemptions for crypto asset exchange-traded products (ETPs). This marks a...more
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
For years, the Securities and Exchange Commission’s invitation to crypto companies sounded simple: “Come in and register.” But there was no map, no guide and no obvious way forward – only uncertainty and risk. That changed on...more
On February 27, 2025, the Securities and Exchange Commission (the “SEC”) issued a statement to provide clarity on the application of federal securities laws to crypto assets by declaring that “meme coins” do not fall under...more
Over a decade ago, Dogecoin was launched as a joke, lampooning the speculation around cryptocurrencies of the time and playing off the popular Doge internet meme. Dogecoin is credited as being the first “meme coin,” a digital...more
According to crypto platform Kraken, the aggregate market cap for all meme coins is over $70 billion. Five meme coins would be considered unicorns (market cap over $1 billion) if they were startups. Dogecoin’s market cap is...more
The SEC Staff at the Division of Corporation Finance issued a statement which said “It is the Division’s view that transactions in the types of meme coins described in this statement, do not involve the offer and sale of...more
The Financial Conduct Authority (FCA) confirmed on 11 March 2024 it will not object to requests from Recognised Investment Exchanges (RIEs) to establish UK-listed market segments for cryptoasset-backed exchange-traded notes...more
The National Securities Market Commission (the "CNMV") has unveiled its Action Plan for 2024. Key highlights include a focus on sustainability monitoring to avoid “greenwashing”, preparation to carry out the new crypto-asset...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
Under the helm of SEC Chairman Gary Gensler, the Securities and Exchange Commission has argued that many cryptocurrencies qualify as “securities” under federal law, and therefore fall within the SEC’s bailiwick....more
Last week, the California Department of Financial Protection & Innovation announced that it has launched a "Crypto Scam Tracker". According to the DFPI, the Crypto Scam Tracker is "a database that is searchable by company...more
On October 20, Mark Wood, co-head of Katten's National Capital Markets practice, alongside representatives from investment bank H.C. Wainwright & Co., LLC and leading publicly traded Bitcoin miner Bitfarms Ltd., discussed the...more
This year-end issue of the Compass includes an overview of a recent conference Katten held regarding developments in cryptocurrency in the capital markets space, led by Mark Wood, national co-head of Katten’s Capital Markets...more
On August 24, the Securities and Exchange Commission (SEC) released a draft of its strategic plan for 2022 – 2026, outlining its key initiatives for the next four years. The SEC’s mission is to protect investors, maintain...more
A recent report published by AIMA, the 4th AIMA Annual Global Crypto Hedge Fund Report 2022, highlighted the continued growth in the AUM being allocated to this asset class during 2021....more