Securities and Exchange Commission (SEC) - News, Articles & Research

Company announcement/regulation

SEC charges Bitqyck founders with operating unregistered digital asset exchange

The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities offerings of two digital assets, Bitqy and BitqyM, and operated an unregistered exchange to permit trading in one of them, a digital token called Bitqy.

29 August 2019

Company announcement/regulation

SEC gets freeze on assets in alleged fraudulent token offering

The Securities and Exchange Commission announced fraud charges against a Brooklyn individual and two entities under his control who allegedly engaged in a fraudulent scheme to sell digital securities to investors and to manipulate the market for those securities.

13 August 2019

Company announcement/regulation

US regulators seek to clarify digital asset custody rules

Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation — including custody—of digital asset securities1 and transactions.

09 July 2019

Company announcement/regulation

SEC charges Kik Interactive over unregistered $100m ICO

The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital tokens.

04 June 2019

Company announcement

SEC creates framework for analysis of digital assets

Blockchain and distributed ledger technology can catalyze a wide range of innovation. We have seen these technologies used to create financial instruments, sometimes in the form of tokens or coins that can provide investment opportunities like those offered through more traditional forms of securities.

29 May 2019

News/regulation

SEC publishes digital assets framework

The Securities and Exchange Commission has moved to clear up some of the regulatory confusion over digital assets by publishing a framework for analysing whether they are offered and sold as investment contracts and, therefore, are securities.

04 April 2019

Company announcement

DTCC to expand Sponsored Service

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced its proposal to expand the Sponsored Service of its subsidiary Fixed Income Clearing Corporation (FICC) has been approved by the Securities and Exchange Commission (SEC).

01 April 2019

Company announcement

SEC to hold DLT and digital asset-focused public forum

The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019.

15 March 2019

Company announcement/regulation

Gladius Network settles with SEC over unregistered ICO

The Securities and Exchange Commission today charged Gladius Network LLC with conducting an unregistered initial coin offering (ICO), which the company self-reported to the SEC.

20 February 2019

News

US reports record surge in electronic trading data

Greater use of electronic trading and market volatility saw a record surge in trading data reported by the US capital markets watchdog in 2018, raising questions about regulators' ability to successfully and safely monitor markets.

05 February 2019

News

SEC seeks help on blockchain data

The Securities and Exchange Commission (SEC) is inviting bids from firms that can build a tool that lets it review data from the most widely used blockchain ledgers in order to help it monitor risk and compliance, and inform policy, related to cryptocurrencies.

05 February 2019

News/security

US makes charges in SEC hacking scheme

US authorities have filed charges alleging crooks hacked into a Securities and Exchange Commission database to gain access to non-public information that was then used to make millions of dollars through illicit trades.

15 January 2019