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Digital Asset Regulatory Tracker

December 20, 2023
Publications

Digital Asset Regulatory Tracker

A lot is happening in the world of digital assets regulation, and we understand how challenging it is to keep track of it all. To assist, we publish a digital asset regulatory tracker, including links to digital asset-related materials issued by the SEC, CFTC and DOL. Make sure to receive the tracker via email and check out our current content and prior postings on our website.

STRADLEY DIGITAL ASSET REGULATORY TRACKER

 

November 2023

 

November 30, 2023

Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Fidelity Ethereum Fund Under BZX Rule 14.11(e)(4)

 

November 28, 2023

Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4)

 

November 28, 2023

NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Hashdex Bitcoin Futures ETF under NYSE Arca Rule 8.500-E

 

November 20, 2023

SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer and Clearing Agency

Press Release

Litigation Release

SEC Complaint

 

November 17, 2023

Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4)

 

November 15, 2023

Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Franklin Bitcoin ETF Under BZX Rule 14.11(e)(4)

 

November 15, 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 Grayscale Ethereum Futures Trust (ETH) ETF Under NYSE Arca Rule 8.200-E, Commentary .02

 

November 15, 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 Hashdex Bitcoin Futures ETF Under NYSE Arca Rule 8.500-E

 

November 14, 2023

SEC Announces Enforcement Results for Fiscal Year 2023

 

November 9, 2023

SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million from Investors

Press Release

Litigation Release

SEC Complaint

 

November 6, 2023

Remarks to the 2023 Conference on SEC Regulation Outside the United States: Fifth Annual Scott Friestad Memorial Lecture by Commissioner Mark T. Uyeda

 

November 3, 2023

In the Matter of Stoner Cats 2, LLC

 

November 2, 2023

Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Invesco Galaxy Ethereum ETF Under BZX Rule 14.11(e)(4)

 

November 1, 2023

SEC Charges Crypto Company SafeMoon and Its Executive Team for Fraud and Unregistered Offering of Crypto Securities

Press Release

Litigation Release

SEC Complaint

 


 

 

CFTC – 23 Entries

 

November 30, 2023

Speech of Commissioner Kristin N. Johnson: Beyond Policing for Fraud: Post-Crisis Crypto-Corporate Governance Reforms

 

November 30, 2023

Commissioner Pham to Speak at the Hogan Lovells GDF Digital Assets Summit 2023

 

November 30, 2023

Commissioner Johnson to Deliver Remarks and Participate in Fireside Chat at the Blockchain Association Policy Summit

 

November 29, 2023

Commissioner Johnson to Deliver Remarks and Participate in Fireside Chat at the Inaugural DeFi Summit hosted by S&P Global

 

November 21, 2023

Statement of Commissioner Caroline D. Pham Regarding Binance Consent Orders

 

November 21, 2023

Statement of Commissioner Christy Goldsmith Romero on Bringing Binance and Its Founder to Justice

 

November 21, 2023

Statement of Commissioner Kristin N. Johnson Regarding CFTC’s Landmark Resolution of Charges Against Binance and Its CEO and CCO

 

November 21, 2023

Statement of Chairman Rostin Behnam Regarding Binance and Its Founder

 

November 21, 2023

Binance Former Chief Compliance Officer, Samuel Lim, Agrees to Pay $1.5 Million for Willfully Evading U.S. Law, and Aiding and Abetting the Illegal Operation of a Digital Asset Derivatives Exchange and Other Violations

 

November 21, 2023

Binance and Its CEO, Changpeng Zhao, Agree to Pay $2.85 Billion for Willfully Evading U.S. Law, Illegally Operating a Digital Asset Derivatives Exchange and Other Violations

 

November 16, 2023

Remarks of Commissioner Christy Goldsmith Romero: Financial Stability Is Foundational for Consumer Protection

 

November 16, 2023

Commissioner Pham to Speak at the Singapore Fintech Festival

 

November 13, 2023

Atlanta Economics Club Keynote Address at the Federal Reserve Bank of Atlanta by Commissioner Kristin N. Johnson

 

November 10, 2023

Commissioner Pham to Speak at the Blockchain Week in Busan 2023

 

November 9, 2023

Chairman Behnam to Provide Opening Remarks at the Global Financial Innovation Network Conference

 

November 8, 2023

Commissioner Goldsmith Romero to Participate in a Fireside Chat at TRM Labs’ Crypto Law Enforcement Summit

 

November 8, 2023

Chairman Behnam to Participate in the 7th Annual DC Fintech Week Conference

 

November 7, 2023

Chairman Behnam to Participate in a Fireside Chat at SIFMA’s Annual Meeting

 

November 7, 2023

CFTC Releases FY 2023 Enforcement Results

 

November 6, 2023

Commissioner Pham Announces Agenda for the Upcoming Global Markets Advisory Committee Meeting on November 6

 

November 3, 2023

Statement of Commissioner Kristin N. Johnson: Preserving Trust and Preventing the Erosion of Customer Protection Regulation

 

November 2, 2023

Commissioner Johnson to Participate in Fireside Chat with Former FTC Chair William Kovacic Hosted by WSJ

 

November 2, 2023

Commissioner Pham Announces Agenda for the Upcoming Global Markets Advisory Committee Meeting on November 6

 


DOL – 1 Entry

 

November 3, 2023

Retirement Security Rule: Definition of an Investment Advice Fiduciary, 88 Fed. Reg. 75890

 


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Information contained in this publication should not be construed as legal advice or opinion or as a substitute for the advice of counsel. The articles by these authors may have first appeared in other publications. The content provided is for educational and informational purposes for the use of clients and others who may be interested in the subject matter. We recommend that readers seek specific advice from counsel about particular matters of interest.

Copyright © 2023 Stradley Ronon Stevens & Young, LLP. All rights reserved.

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