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.
AUGUST 2023 RECAP
SEC – 20 Entries
August 31, 2023
NASDAQ Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the iShares Bitcoin Trust under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
August 31, 2023
NASDAQ Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Valkyrie Bitcoin Fund under Nasdaq Rule 5711(d), Commodity-Based Trust Shares
August 31, 2023
NYSE Arca, Inc. Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Bitwise Bitcoin ETP Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
August 31, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)
August 31, 2023
Cboe BZX Exchange, Inc. Notice of Designation of a Longer Period for Commission Action on 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)
August 31, 2023
Cboe BZX Exchange, Inc. Notice of Designation of a Longer Period for Commission Action on 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)
August 31, 2023
Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)
August 29, 2023
SEC Obtains Final Judgment against Bittrex, Inc. and Bittrex Global Gmbh
August 28, 2023
SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs
Press Release
SEC Order
August 28, 2023
In the Matter of Impact Theory, LLC, Order Instituting Cease-and-Desist Proceedings
August 28, 2023
NFTs & the SEC: Statement on Impact Theory, LLC, Statement from Commissioner Hester M. Peirce and Commissioner Mark T. Uyeda
August 23, 2023
SEC Charges Former New Jersey Corrections Officer with Crypto Fraud Scheme Targeting Law Enforcement Personnel
Press Release
SEC Complaint
Litigation Release
August 21, 2023
In the Matter of Titan Global Capital Management USA LLC, Order Instituting Cease-and-Desist Proceedings
August 18, 2023
SEC Charges Georgia Resident in Crypto-Related Affinity Fraud
August 17, 2023
Cboe BZX Exchange, Inc. Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust, under BZX Rule 14.11(e)(4)
August 15, 2023
SEC Charges Ault Alliance, Inc. and former CEO Milton Charles (Todd) Ault III with Making Misleading Disclosures and Other Violations and Charges Current CEO for Record-keeping and Internal Control Violations
Administrative Proceeding
Order - Ault Alliance, et al.
August 11, 2023
Cboe BZX Exchange, Inc. Notice of Filing of Amendment No. 3 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14.11(e)(4)
August 10, 2023
Crypto Asset Trading Platform Bittrex and Former CEO to Settle SEC Charges for Operating an Unregistered Exchange, Broker and Clearing Agency
August 7, 2023
SEC Obtains Consent Judgment Against Celebrity Charged with Illegally Touting Crypto Asset Securities for Crypto Entrepreneur Justin Sun
August 4, 2023
SEC Obtains Emergency Relief to Halt Utah-Based Company’s Crypto Asset Fraud Scheme Involving 18 Defendants
Litigation Release
Press Release
SEC Complaint
CFTC – 2 Entries
August 29, 2023
Commissioner Johnson to Participate on a Financial Regulation Panel at DeFi Retreat US
August 11, 2023
CFTC Charges Residents of Florida, Louisiana and Arkansas in Ongoing Cryptocurrency and Precious Metals Fraud
DOL
No entries
ARCHIVES
July 2023
June 2023
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April 2023
March 2023
February 2023
January 2023
December 2022
November 2022
October 2022
September 2022
August 2022
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