FINRA Examines Fintech Including Blockchain
On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR...
Home Archive by Category "Distributed Ledger Technology"
Distributed Ledger Technology
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Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space
I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl...
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SEC and NASAA Statements on ICOs and More Enforcement Proceedings
The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl...
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SEC Continues to Review, And Delay, Crypto Funds
On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets A...
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SEC Issues Report on Initial Coin Offerings (ICO’s)
On July 25, 2017, the SEC issued a report on an investigation related to an initial coin offering (ICO) by the DAO and statements by...
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SEC Statements On Cybersecurity – Part 2
On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S...
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SEC Statements On Cybersecurity; An EDGAR Hacking – Part 1
On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S...
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SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
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Securities Token Or Not? A Case Study – Part II
This is the second part in my three-part series laying out fact patterns and discussing whether a specific digital asset is a securi...
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State Distributed Ledger Technology and Blockchain Regulations
In a time of rapidly changing regulations and policies on all securities industry and corporate finance topics, and the development...
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