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138 results found

Article

Latham & Watkins LLP | USA | 22 May 2019

Token Presale Agreements and the ConsenSys Automated Convertible Note

In recent years, token presale agreements, including the Simple Agreement for Future Tokens (the SAFT), 2 have become a popular type of financing

Article

Latham & Watkins LLP | USA | 10 Apr 2019

New SEC Token Guidance: This Is Howey Do It

On April 3, 2019, the U.S. Securities and Exchange Commission’s Strategic Hub for Innovation and Financial Technology (the SEC) released a framework

Article

Latham & Watkins LLP | USA | 5 Apr 2019

Are You My Regulator? ABA Surveys US Crypto Regulatory Overlap

Members of the American Bar Association’s (ABA’s) Derivatives and Futures Law Committee recently published a White Paper exploring the US re

Article

Latham & Watkins LLP | USA | 27 Mar 2019

NFA to Require Swap Proficiency Examination for Swap Associated Persons

As of January 31, 2021, all swap associated persons will need to take and pass the NFA’s swap proficiency examination

Article

Latham & Watkins LLP | USA, United Kingdom | 20 Mar 2019

CFTC Enters the Market for Anti-Corruption Enforcement

On March 6, 2019, the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or Commission) announced that it will

Article

Latham & Watkins LLP | USA | 28 Feb 2019

FINRA Launches New Self-Reporting Initiative for 529 Savings Plan Violations

On January 28, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19- 04 announcing its 529 Plan Share Class

Article

Latham & Watkins LLP | USA | 1 Feb 2019

CFTC Seeks to Amend Commodity Pool Regulations

The US Commodity Futures Trading Commission (CFTC) has proposed amendments to its regulations in order to ease the registration and compliance burdens

Article

Latham & Watkins LLP | USA | 15 Jan 2019

SEC Ends 2018 Signaling Its Approach to Regulating the Cryptocurrency Markets

The US Securities and Exchange Commission (SEC, or the Commission) recently issued a public statement1 and

Article

Latham & Watkins LLP | USA | 19 Oct 2018

SEC Charges “ICO Superstore” as Unregistered Broker-Dealer

Latham & Watkins operates worldwide as a limited liability partnership organized under the laws of the State of Delaware (USA) with affiliated limited

Article

Latham & Watkins LLP | USA, Singapore, United Kingdom, etc. | 3 May 2018

Global Developments on Best Execution

Best execution is currently a hot topic for global regulators and the past year has seen notable regulatory focus in this area. Amid this development

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