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Blockchain Technology: SEC Commissioner Peirce Presents an Opportunity to Rethink Regulation

USA - February 13 2019 On February 8, 2019, U.S. Securities and Exchange (SEC) Commissioner Hester Peirce delivered a speech addressing the relationship between...

Lilya Tessler, K. Braeden Anderson.

NFA Creates New Internal Controls Requirements for CPO Members

USA - February 13 2019 Effective April 1, 2019, National Futures Association (NFA) members that are commodity pool operators (CPOs) will be required to implement internal...

James B. Biery, Michael S. Sackheim, Nathan A. Howell.

U.S. SEC and CFTC Fiscal Year 2018 Whistleblower Reports Chart Dramatic Escalation of Whistleblower Programs

USA - December 3 2018 The U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission(CFTC) Offices of the Whistleblower have issued their...

Stephen L. Cohen, Michael S. Sackheim, Nathan A. Howell, W. Hardy Callcott, Fiona A.Philip.

First SEC Enforcement Action Against Decentralized Digital Asset Exchange Echoes SEC’s Recent Public Statements

USA - November 12 2018 In the first case of its kind, the Securities and Exchange Commission (SEC) announced an enforcement action related to EtherDelta, a decentralized...

Lilya Tessler, Verity A. Van Tassel Richards, Daniel Engoren.

One Pie, Many Slices: Recent Court Decisions Carve Up SEC and CFTC Jurisdiction in Virtual Currency

USA - October 2 2018 Three recent actions in federal court illustrate the interplay among federal regulators overseeing virtual currency, offer important support for the...

Lilya Tessler, Verity A. Van Tassel Richards, Daniel Engoren.