Searching Content indexed under Fin Tech by Joseph Moreno ordered by Published Date Descending.
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SEC Commissioner Hester Peirce Calls For Support Of Crypto Innovation
SEC Commissioner Hester M. Peirce called for improved coordination among international financial regulators
United States
7 Aug 2019
FinCEN Provides Guidance On Convertible Virtual Currencies, Issues Advisory On Illicit Activity
The Financial Crimes Enforcement Network ("FinCEN") provided guidance on the application of Bank Secrecy Act money transmission regulations to business models involving convertible virtual currencies ("CVCs").
United States
28 May 2019
NYAG Finds Cryptocurrency Exchanges Lack Retail Customer Protections
In a newly released Virtual Markets Integrity Report, the Office of the New York State Attorney General ("NYAG") concluded that many virtual asset trading platforms lack the necessary policies.
United States
25 Sep 2018
Federal District Court Confirms That Securities Laws Apply To Initial Coin Offerings
The U.S. District Court of the Eastern District of New York ruled that virtual currencies issued through an initial coin offering ("ICO") may constitute securities under the Securities Act and Exchange Act.
United States
17 Sep 2018
SEC Settles Actions Involving Digital Securities
A privately owned company and two individuals settled SEC charges of conducting unregistered securities transactions and acting as unregistered broker-dealers in digital securities.
United States
14 Sep 2018
SEC Rejects Another Nine Proposed Bitcoin ETFs
The SEC Division of Trading and Markets rejected applications for nine exchange-traded funds ("ETFs") tied to bitcoin futures markets from three separate companies – ProShares, Direxion, and GraniteShares – on the grounds that they lacked adequate means of preventing "fraudulent and manipulative acts and practices."
United States
3 Sep 2018
SEC Rejects Proposal To List Bitcoin-Based ETP On Regulated Exchange
By a three-to-one vote, the SEC rejected a second application by the Bats BZX Exchange ("BZX") (now owned by Cboe Global Markets) to list a bitcoin-backed exchange-traded product ("ETP").
United States
3 Aug 2018
FINRA Encourages Firms To Report Activities Related To Digital Assets
FINRA urged firms to notify their FINRA Regulatory Coordinators in writing if they, or their associated persons or affiliates, are currently engaging in or intend to engage ...
United States
26 Jul 2018
CFTC Warns Of Risks Of Purchasing Digital Coins And Tokens
The CFTC warned customers to conduct thorough research before purchasing digital coins or tokens (including self-described "utility coins" and "consumption coins").
United States
24 Jul 2018
Attorney Settles Charges Of Illegally Selling Blockchain-Related Securities
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
United States
19 Jul 2018
House Subcommittee Hears Testimony On Virtual Currency AML Risks
The U.S. House Financial Subcommittee on Terrorism and Illicit Finance considered testimony by law enforcement agencies on the use of Bitcoin ...
United States
27 Jun 2018
SEC Commissioner Cautions Against Overregulating Initial Coin Offerings
SEC Commissioner Hester M. Peirce cautioned against the "blanket" classification of digital tokens used in initial coin offerings ("ICOs") as securities, and warned against the overregulation of ICOs...
United States
15 May 2018
NY Attorney General Launches Probe Of Cryptocurrency Trading Platforms
The deadline to return the completed questionnaire is May 1, 2018.
United States
20 Apr 2018
SEC Cyber Unit Shuts Down Unregistered ICO
The SEC filed an action to halt the initial coin offering ("ICO") of Centra Tech, Inc. ("Centra"), charging two Florida businessmen with engaging in a fraudulent scheme to raise funds from investors ...
United States
6 Apr 2018
FinCEN Confirms That Money Transmitter Rules Apply To ICO Coins And Tokens
The U.S. Treasury Department's Financial Crimes Enforcement Network ("FinCEN") asserted that it considers the transmission of newly-issued digital coins and tokens derived from initial coin offerings...
United States
5 Apr 2018
President Trump Blocks U.S. Purchases Of Venezuelan "Petro" Cryptocurrency
President Donald J. Trump issued an Executive Order blocking U.S. persons from purchasing or otherwise dealing in cryptocurrency originating from or connected to the Government of Venezuela.
United States
20 Mar 2018
Cadwalader Attorneys Examine Enforcement Actions Against ICOs
The SEC charged New York-based businessman Maksim Zaslavskiy for defrauding investors through two "so-called" ICOs.
United States
20 Oct 2017
Senate Banking Committee Considers FinTech Innovation
The U.S. Senate Committee on Banking (the "Committee") considered testimony from industry experts on the challenges, benefits and potential future development of FinTech.
United States
21 Sep 2017
FinCEN Targets Shell Companies Purchasing Luxury Real Estate
The Financial Crimes Enforcement Network ("FinCEN") expanded its use of Geographic Targeting Orders ("GTOs") broadening efforts to combat money laundering in the luxury residential real estate market.
United States
30 Aug 2017
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