SEC Statement on Cryptocurrencies and Initial Coin Offerings

February 7, 2018

On December 11, 2017 SEC Chairman Jay Clayton published a Statement on Cryptocurrencies and Initial Coin Offerings. This statement contains information about how the SEC will analyze whether the offering of cryptocurrencies and Initial Coin Offerings is legal.  Both investors and market participants should review the SEC's statement prior to investing in or offering cryptocurrencies. … Continue reading “SEC Statement on Cryptocurrencies and Initial Coin Offerings”

SEC Statement on Cybersecurity

February 7, 2018

On Septemeber 20, 2017 SEC Chairman Jay Clayton published an important statement on Cyberysecurity. Broker-dealer, Registered Investment Advisors and publicly traded companies should review the statement and become familiar wih what steps the SEC expects regulated entities to take.  The full statement can be found here: https://www.sec.gov/news/public-statement/statement-clayton-2017-09-20

SEC Investor Bulletin Concerning Initial Coin Offerings

February 7, 2018

On July 25, 2017 the SEC published an investor bulletin concerning Initial Coin Offerings.  In that bulletin the SEC discussed its report of investigation under Section 21(a) of the Securities Exchange Act of 1934 describing the SEC investigation of The DAO, a virtual organization, and its use of distributed ledger or blockchain technology to facilitate … Continue reading “SEC Investor Bulletin Concerning Initial Coin Offerings”

Legal Developments in Securities Law

January 26, 2016

How Can I Claim an SEC Whistleblower Award: Dodd-Frank’s Whistleblower Incentives Under the Sarbanes-Oxley Act of 2002 (SOX), the whistleblower provision prohibited publicly traded corporations from taking any adverse employment action against an employee that internally reported or externally disclosed conduct reasonably believed to be a violation of any rule or regulation of the Securities … Continue reading “Legal Developments in Securities Law”

Legal Developments in Securities Law

January 26, 2016

Too Good to be True?: Investment Schemes to Watch Out For Recently, the North American Securities Administrators Association (“NASAA”) released a list of the “Top 10 Financial Products and Practices” that investors should watch out for. See the NASAA’s article here. The article lists the following products and practices: PRODUCTS: distressed real estate schemes, energy … Continue reading “Legal Developments in Securities Law”

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