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.
SEPTEMBER 2023 RECAP
SEC – 32 Entries
September 29, 2023
Notice of Effectiveness, Form N-1A, Bitwise Funds Trust (Bitwise Bitcoin and Ether Equal Weight Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, Bitwise Funds Trust (Bitwise Ethereum Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, ProShares Trust (ProShares Bitcoin & Ether Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, ProShares Trust (ProShares Bitcoin & Ether Equal Weight Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, ProShares Trust (ProShares Ether Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, VanEck ETF Trust (VanEck Ethereum Strategy ETF)
September 29, 2023
Notice of Effectiveness, Form N-1A, Volatility Shares Trust (Ether Strategy ETF)
September 28, 2023
Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4)
September 28, 2023
The Nasdaq Stock Market LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Bitcoin Trust under Nasdaq Rule 5711(d)
September 28, 2023
Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Invesco Galaxy Bitcoin ETF under BZX Rule 14.11(e)(4)
September 28, 2023
NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin ETP Trust under NYSE Arca Rule 8.201-E
September 28, 2023
The Nasdaq Stock Market LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Valkyrie Bitcoin Fund under Nasdaq Rule 5711(d)
September 28, 2023
Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the Wise Origin Bitcoin Trust under BZX Rule 14.11(e)(4)
September 28, 2023
Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Bitcoin Trust under BZX Rule 14.11(e)(4)
September 27, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF under BZX Rule 14.11(e)(4)
September 27, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF under BZX Rule 14.11(e)(4)
September 27, 2023
The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Hashdex Nasdaq Ethereum ETF under Nasdaq Rule 5711(i)
September 27, 2023
NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Grayscale Ethereum Futures Trust (ETH) ETF under NYSE Arca Rule 8.200-E, Commentary .02
September 27, 2023
NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Regarding the Hashdex Bitcoin Futures ETF
September 27, 2023
Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF under BZX Rule 14.11(e)(4)
September 27, 2023
Testimony Before the United States House of Representatives Committee on Financial Services by Gary Gensler
September 26, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4)
September 26, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14.11(e)(4)
September 26, 2023
SEC Institutes Administrative Proceedings Against Unregistered Brokers Conducting a Fraudulent and Unregistered Offering of Crypto Asset Securities
Press Release
Administrative Proceeding
September 25, 2023
SEC Suspends New York Public Accountant for Improper Professional Conduct
Press Release
Administrative Proceeding
September 21, 2023
Cboe BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the ARK 21Shares Ethereum ETF Under BZX Rule 14.11(e)(4)
September 20, 2023
Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the VanEck Ethereum ETF Under BZX Rule 14.11(e)(4)
September 20, 2023
SEC Charges Lawyer for Violations in Connection with Crypto Asset Securities Offering
Press Release
Administrative Proceeding
September 20, 2023
SEC Charges Florida Investment Adviser and Its President with Fraud and Failing to Produce Records to SEC Examinations Staff
Litigation Release
SEC Complaint
September 13, 2023
SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
Press Release
Administrative Proceeding
Collecting Enforcement Actions: Statement on Stoner Cats 2, LLC by Commissioners Hester M. Peirce and Mark T. Uyeda
September 8, 2023
In the Matter of Jacob R. Orvidas, Order Instituting Cease-and-Desist proceedings
September 7, 2023
Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities
Press Release
Administrative Proceeding
CFTC – 20 Entries
September 29, 2023
CFTC Charges Four Individuals and a Seychelles Company with Operating a Fraudulent Digital Assets Trading Scheme and Misappropriation
September 28, 2023
Chairman Behnam to Keynote and Participate in a Panel at the Northwind 17th Annual Capital Markets Invitational Forum
September 28, 2023
Chairman Behnam to Participate in a Fireside Chat with GDF & DLA Piper: Global Digital Forum
September 27, 2023
Statement of Commissioner Kristin N. Johnson: Increase Investor Protection by Stopping Bitcoin Investment Fund Fraud
September 27, 2023
CFTC Charges Mosaic Exchange Limited and Sean Michael with a Fraudulent Solicitation and Digital Asset Commodities Trading Scheme
September 21, 2023
Commissioner Johnson to Provide a Keynote Address and Participate on Panel at the World Federation of Exchanges Annual Meeting
September 13, 2023
Commissioner Johnson to Participate on a DeFi Panel at the EuroFi Financial Forum
September 12, 2023
Commissioner Pham to Keynote at Nasdaq Surveillance Conference 2023
September 11, 2023
PLI White Collar Crime 2023 Keynote Speech of Enforcement Director Ian McGinley: “Enforcement by Enforcement: The CFTC’s Actions in the Derivatives Markets for Digital Assets”
September 11, 2023
Modernizing Investor Protection for the Digital Age: Opening Remarks of CFTC Commissioner Christy Goldsmith Romero
September 11, 2023
Commissioner Goldsmith Romero to Provide Opening Remarks at the North American Securities Administrators Association’s 2023 Fall Annual Meeting
September 8, 2023
Statement of Commissioner Christy Goldsmith Romero: Arming Crypto Customers with Free Tools to Protect Themselves from Becoming a Victim
September 8, 2023
CFTC Orders Utah Man to Pay More Than $2.5 Million for Leveraged Bitcoin Fraud and Failure to Register
September 7, 2023
Remarks of CFTC Commissioner Caroline D. Pham Before the Cato Institute, Staying Ahead of the Curve: Crypto Regulation and Competitiveness
September 7, 2023
Statement of Commissioner Kristin N. Johnson Regarding CFTC Resolving Charges Against Three Decentralized Finance Companies: The Need for Oversight
September 7, 2023
Dissenting Statement of Commissioner Summer K. Mersinger Regarding Enforcement Actions Against 1) Opyn, Inc.; 2) Deridex, Inc. and 3) ZeroEx, Inc.
September 7, 2023
CFTC Issues Orders Against Operators of Three DeFi Protocols for Offering Illegal Digital Asset Derivatives Trading
September 7, 2023
Statement of Commissioner Kristin N. Johnson Regarding CFTC Consent Order Imposing $1.7 Billion in Restitution against South African Commodity Pool Operator
September 7, 2023
Federal Court Orders South African Company to Pay Over $1.7 Billion in Restitution for Forex Fraud
September 5, 2023
Commissioner Pham to Keynote at Korea Blockchain Week 2023
DOL
No entries
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