Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC Has Taken 97 Crypto Enforcement Actions So Far — Crypto a Top Priority for Chairman Gensler – CFX Magazine
Cornerstone Research published a report titled “SEC Cryptocurrency Enforcement: 2021 Update” last week. According to the report, it analyzes SEC enforcement actions from July 2013 through December 2021. According to the report, 58 enforcement actions were cryptocurrency-related litigations and 39 were administrative proceedings. About half of all 58 cases were filed in New York. 31 […]
SEC Chief Wants Advisors, BDs to Improve ‘Cyber Hygiene’ | ThinkAdvisor
Securities and Exchange Commission Chairman Gary Gensler said Monday that he wants advisors and broker-dealers to improve their “cyber hygiene” as well as their data privacy disclosures. Investment companies, investment advisors and broker-dealers, which are not covered by the SEC’s Regulation Systems Compliance and Integrity, or Reg SCI, must “comply with various rules that may […]