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
ARCHIVES
October 2023
September 2023
August 2023
July 2023
June 2023
May 2023
April 2023
March 2023
February 2023
January 2023
2022 Issues
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