U.S. Regulatory Update

by | Aug 23, 2022 | U.S. Regulatory Update

23 August 2022 Securities and Exchange Commission SEC Sues Dragonchain for 2017 Dragon Token Presale and ICO On 16 August, the SEC announced that it had charged Dragonchain Inc. founder John Joseph Roets and affiliated entities for their roles in raising $16.5 million...

U.S. Regulatory Update

by | Aug 16, 2022 | U.S. Regulatory Update

16 August 2022 Securities and Exchange Commission SEC and CFTC Jointly Propose Amendments to Private Fund Reporting On 10 August, the SEC voted concurrently with the CFTC to propose amendments to Form PF, a confidential reporting form for private fund advisers. A fact...

U.S. Regulatory Update

by | Aug 9, 2022 | U.S. Regulatory Update

9 August 2022 Securities and Exchange Commission SEC Proposes New Rules on Clearing Agency Governance On 8 August, the SEC proposed rules imposing new conflict of interest and other governance standards on registered clearing agencies. Topics of other governance...

U.S. Regulatory Update

by | Aug 2, 2022 | U.S. Regulatory Update

2 August 2022 Securities and Exchange Commission  SEC Re-Proposes Amendments to Narrow Exemption from FINRA Membership On 29 July, the SEC re-proposed rule amendments to narrow the exemption from membership in FINRA for certain broker-dealers. The changes would...

U.S. Regulatory Update

by | Jul 26, 2022 | U.S. Regulatory Update

26 July 2022 Securities and Exchange Commission  SEC Charges Former Coinbase Manager and Two Others in Crypto Asset Insider Trading Action On 21 July, the SEC announced insider trading charges against a former Coinbase product manager, his brother, and his friend for...