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417 results found

Article

Katten Muchin Rosenman LLP | USA | 21 Oct 2018

Commentaries

The Commodity Futures Trading Commission obtained orders from a federal court in New York concluding its first-filed enforcement action against

Article

K&L Gates | USA | 27 Jun 2018

Metamorphosis: Digital Assets and the U.S. Securities Laws

In the past year, the U.S. Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial

Article

Fenwick & West LLP | USA | 17 May 2018

SEC Enforcement Trends: Highlights from Securities Enforcement Forum West 2018

The Securities Enforcement Forum West 2018 brought together current and former senior U.S. Securities and Exchange Commission and U.S. Department of

Article

Nelson Mullins Riley & Scarborough LLP | USA | 16 May 2018

The Rise of the Private Cryptocurrency Plaintiff?

The cryptocurrency industry, already facing scrutiny from the SEC, DOJ, CFTC, state regulators and others, also has to contend with civil lawsuits

Article

Katten Muchin Rosenman LLP | USA | 15 Apr 2018

Broker-Dealer Sanctioned US $1.575 Million by FINRA and Other SROs for Market Access Rule Violations

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not

Article

Paul Hastings LLP | USA, Ireland | 26 Mar 2018

PH Money Matters: This Week in Washington

President Trump signed the US$1.3T omnibus spending bill on Friday, ending a cycle of short-term stopgap measures and the recurring threat of a

Article

Katten Muchin Rosenman LLP | USA | 11 Mar 2018

Bridging the Weeks by Gary DeWaal: February 26 to March 9 and March 12, 2018 (ICOs, Cryptocurrencies Securities Exchanges Moving the Money)

A US federal court, the US Department of Treasury and the Securities and Exchange Commission all issued views on the regulation of cryptocurrencies

Article

Katten Muchin Rosenman LLP | USA | 25 Feb 2018

Bridging the Weeks by Gary DeWaal: February 12 to 23, and February 26, 2018 (Whistleblowers; AML Staffing; Unlicensed Crypto Exchange; FCA-CFTC FinTech Cooperation)

The United States Supreme Court made clear that, to take advantage of a key anti-retaliation protection of the Dodd-Frank Wall Street Reform and