A lot is happening in the world of digital assets regulation, and we know it is difficult to keep track of it all. That is why we built this digital assets regulatory tracker. Each month, we publish a list with links to digital asset-related materials issued by the SEC, CFTC and DOL. Please click here if you would like to sign up to receive this monthly tracker via email.
FEBRUARY 2023
SEC - 12 Entries
February 28, 2023
SEC Charges Nishad Singh with Defrauding Investors in Crypto Asset Trading Platform FTX
Press Release: https://www.sec.gov/news/press-release/2023-40
SEC Complaint: http://www.sec.gov/litigation/complaints/2023/comp-pr2023-40.pdf
February 17, 2023
SEC Charges NBA Hall of Famer Paul Pierce for Unlawfully Touting and Making Misleading Statements about Crypto Security
Press Release: https://www.sec.gov/news/press-release/2023-34
SEC Order: https://www.sec.gov/litigation/admin/2023/33-11157.pdf
February 16, 2023
SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes
Press Release: https://www.sec.gov/news/press-release/2023-32
SEC Complaint: https://www.sec.gov/litigation/complaints/2023/comp-pr2023-32.pdf
February 15, 2023
SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
Press Release: https://www.sec.gov/news/press-release/2023-30
Proposed Rule: https://www.sec.gov/rules/proposed/2023/ia-6240.pdf
February 15, 2023
Chair Gary Gensler’s Statement on Proposed Rules regarding Investment Adviser Custody
Statement: https://www.sec.gov/news/statement/gensler-statement-custody-021523
February 15, 2023
Commissioner Hester M. Peirce’s Statement on Safeguarding Advisory Client Assets Proposal
Statement: https://www.sec.gov/news/statement/peirce-statement-custody-021523
February 15, 2023
Commissioner Caroline A. Crenshaw’s Statement on Safeguarding Advisory Client Assets Proposal
Statement: https://www.sec.gov/news/statement/crenshaw-statement-custody-021523
February 15, 2023
Commissioner Mark T. Uyeda’s Statement on Proposed Rule Regarding the Safeguarding of Advisory Client Assets
Statement: https://www.sec.gov/news/statement/uyeda-statement-custody-021523
February 9, 2023
Kraken to Discontinue Unregistered Offer and Sale of Crypto Asset Staking-As-A-Service Program and Pay $30 Million to Settle SEC ChargesPress Release: https://www.sec.gov/news/press-release/2023-25
February 9, 2023
Commissioner Hester M. Peirce's Statement on Kraken Down: Statement on SEC v. Payward Ventures, Inc., et al.
Statement: https://www.sec.gov/news/statement/peirce-statement-kraken-020923
February 7, 2023
SEC Division of Examinations Announces 2023 Priorities which will include emerging technologies and Crypto assets.
Press Release: https://www.sec.gov/news/press-release/2023-24
2023 Examination Priorities Report: https://www.sec.gov/files/2023-exam-priorities.pdf
February 7, 2023
SEC Charges Las Vegas Resident in Crypto Fraud Targeting Filipino Community in California
Litigation Release: https://www.sec.gov/litigation/litreleases/2023/lr25634.htm
SEC Complaint: https://www.sec.gov/litigation/complaints/2023/comp25634.pdf
CFTC - 15 Entries
February 28, 2023
CFTC Charges FTX Co-Owner with Fraud by Misappropriation and Aiding and Abetting Fraud Related to Digital Asset Commodities
February 28, 2023
Commissioner Pham Announces New Subcommittees of the CFTC’s Global Markets Advisory Committee and Seeks Nominations by March 14
February 23, 2023
The Market Risk Advisory Committee to Meet on March 8
February 17, 2023
Commissioner Goldsmith Romero to Participate in the Federal Bar Council’s Winter Bench & Bar Conference 2023: Digital Assets & Blockchain: Legal Issues and Developments
February 16, 2023
Statement of Commissioner Kristin N. Johnson Regarding Fraud and Misappropriation by a Digital Asset Ponzi Scheme
February 16, 2023
CFTC Charges California-based Company and Its CEO with Fraudulent Solicitation and Misappropriation of Digital Asset Commodities
February 13, 2023
Opening Statement of Commissioner Caroline D. Pham before the Global Markets Advisory Committee
February 13, 2023
Commissioner Pham Announces CFTC Global Markets Advisory Committee Meeting and Leadership
February 13, 2023
Opening Statement of Commissioner Kristin N. Johnson Regarding Global Markets Advisory Committee
February 8, 2023
Keynote Address of Commissioner Kristin Johnson at UC Berkeley Law Crypto Regulation Virtual Conference: Post Crypto-Crises: Pathways for Protecting Customers and Preserving Market Integrity
February 8, 2023
Commissioner Johnson to Deliver Remarks and Participate in a Fireside Chat at the Berkeley Cryptocurrency Regulation Virtual Conference
February 7, 2023
The Global Markets Advisory Committee Announces Agenda for February 13 Meeting
February 3, 2023
Keynote Address of Chairman Rostin Behnam at the ABA Business Law Section Derivatives & Futures Law Committee Winter Meeting
February 3, 2023
Chairman Behnam to Keynote at ABA’s Derivatives and Futures Law Winter Committee Meeting
February 3, 2023
Commissioner Johnson to Participate in a Panel Discussion at the ABA's Derivatives and Futures Law Committee Winter Meeting: DeFi & Crypto Developments
DOL
No entries
ARCHIVES
January 2023
December 2022
November 2022
October 2022
September 2022
August 2022
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