by Paul Watkins, Sudhir Jain and Laura Magyar | Feb 28, 2022 | Patomak Post
The recent BlockFi settlement with the Securities and Exchange Commission (SEC) made clear that the agency considers certain digital-asset product offerings “securities” under two long-standing tests. The action also marked the application of an additional regulatory...
by Jamila Piracci, Ted Serafini and Sudhir Jain | Feb 14, 2022 | Patomak Post
Outgoing Commodity Futures Trading Commission (CFTC or Commission) Commissioner Dawn Stump recently issued a challenge to her fellow commissioners to move past simply enforcing the CFTC’s rules as they exist and to do the hard work of setting more clearly defined...
by Sudhir Jain and Jamila Piracci | Oct 13, 2021 | Patomak Post
In September 2021, just days prior to its fiscal year end, the Commodity Futures Trading Commission (CFTC) announced enforcement actions against four Swap Dealers, with monetary fines ranging from $750,000 to $1.5 million. Here are four takeaways from these actions:...
