A lot is happening in the world of digital assets regulation, and we understand how challenging it is to keep track of it all. To assist, we publish a monthly digital asset regulatory tracker, including links to digital asset-related materials issued by the SEC, CFTC and DOL. Make sure to receive the monthly tracker via email and check out our current content and prior months’ postings on our website.
OCTOBER 2023 RECAP
SEC – 8 Entries
October 27, 2023
Overdue: Statement of Dissent on LBRY – Commissioner Hester M. Peirce
October 27, 2023
In the Matter of Impact Theory, LLC, the Division of Enforcement requesting an extension of time until July 26, 2024, to submit a Proposed Plan of Distribution under Rule 1101(a) of the Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1101(a)
October 25, 2023
“Partners of Honest Business and Prosecutors of Dishonesty”: Remarks Before the 2023 Securities Enforcement Forum – Chair Gary Gensler
October 23, 2023
NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Trust Under NYSE Arca Rule 8.201-E
October 19, 2023
SEC Obtains Judgment Against Issuer and CEO for Unregistered Crypto Asset Securities Offering
Litigation Release
Final Judgment
October 13, 2023
Reporting of Securities Loans – Statement from Commissioner Hester M. Peirce
October 10, 2023
In the Matter of Quantstamp, Inc., the Division of Enforcement requesting an extension of time until October 10, 2024, to submit a Proposed Plan of Distribution under Rule 1101(a) of the Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1101(a)
October 3, 2023
SEC Shuts Down Zera Financial LLC Offering Fraud
CFTC – 18 Entries
October 31, 2023
Commissioner Pham to Speak at Columbia Business School
October 25, 2023
Commissioner Pham to Speak at the Center for Strategic and International Studies (CSIS) Event
October 24, 2023
Commissioner Mersinger to Participate in a Fireside Chat at the State of Crypto Policy and Regulation Conference
October 24, 2023
Commissioner Mersinger to Participate in a Live Interview with CoinDesk TV
October 23, 2023
Commissioner Johnson to Participate in a Centennial Celebration Fireside Chat for Academy of Legal Studies in Business
October 19, 2023
Commissioner Pham to Speak on a Practising Law Institute (PLI) Podcast
October 18, 2023
Commissioner Pham to Speak at the Wharton Future of Finance Forum
October 17, 2023
Remarks of Enforcement Director Ian McGinley at the New York University School of Law Program on Corporate Compliance and Enforcement: “The Right Touch: Updated Guidance on Penalties, Monitors and Admissions”
October 12, 2023
Statement of Commissioner Kristin N. Johnson Regarding CFTC Charges Against Voyager Chief Executive Officer
October 12, 2023
Statement of Commissioner Caroline D. Pham Regarding Enforcement Action on Crypto Lending
October 12, 2023
CFTC Charges Former Chief Executive Officer of Digital Asset Platform with Fraud in Massive Commodity Pool Scheme
October 10, 2023
Commissioner Mersinger to Participate in a Virtual Fireside Chat at Paul Hastings' Crypto Derivative Event
October 5, 2023
Keynote Remarks of Commissioner Kristin N. Johnson at Rice University’s Baker Institute for Public Policy Annual Energy Summit
October 4, 2023
CFTC to Host Technology and Fraud Virtual Event for World Investor Week
October 4, 2023
Opening Remarks of Commissioner Kristin N. Johnson at CFTC’s Technology and Fraud Virtual Event for World Investor Week
October 2, 2023
Commissioner Pham to Speak at FIA Expo 2023
October 2, 2023
Commissioner Johnson to Participate in a Fireside Chat at the Fordham Law Blockchain Regulatory Symposium
October 2, 2023
Keynote Address of Chairman Rostin Behnam at the Futures Industry Association Expo 2023, Chicago, Illinois
DOL
No entries
ARCHIVES
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2022 Issues
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