Searching Content indexed under Fin Tech by Edward G. Eisert ordered by Published Date Descending.
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Still Waiting: SEC Again Delays Approvals Of Bitcoin ETFs
As further evidence of the SEC's resistance to the development of a regulated secondary market in bitcoin, on August 12 it delayed making a decision on three additional bitcoin exchange-traded fund (ETF) proposals.
United States
23 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Pocketful of Quarters, Inc. (PoQ) is the second-ever recipient of no-action relief from the Division of Corporation Finance of the Securities and Exchange Commission for the issuance of "Quarters."
United States
9 Aug 2019
The SEC's Second No-Action Relief For Digital Tokens: Meaningful Relief Or A Wolf In Sheep's Clothing?
Considered as a whole, these conditions are so restrictive and duplicative that they raise doubt as to the necessity of the relief.
United States
8 Aug 2019
SEC/FINRA Joint Statement On Digital Asset Securities Does Not Address Regulatory Log Jam
Last week, the Staffs of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the Staffs)
United States
29 Jul 2019
SEC And FINRA Confirm Digital Assets A 2019 Examination Priority
Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC's Office of Compliance, Inspections and Examinations issued its 2019 Examination Priorities ...
United States
20 May 2019
NYDFS To Virtual Currency Exchange: Don't Let The Door Hit You On Your Way Out
The New York Department of Financial Services virtual currency license is back in the spotlight after NYDFS announced that it had rejected the application of Bittrex Inc.
United States
14 May 2019
Three Yards and a Cloud of Dust: SEC Staff Provides Its "Plain English" Framework to Guide Future Discussions
The SEC chose a week that saw the price of Bitcoin spike by over $700 in an hour, kicking off a rally reminiscent of the go-go days of 2017, to issue its long-awaited "plain English" guidance for determining...
United States
23 Apr 2019
The Beat Goes On: Division Of Investment Management Seeks Input On The Impact Of The Custody Rule On Digital Currency – And Vice Versa
As part of its ongoing examination of the Custody Rule, the SEC's Division of Investment Management is seeking views from the securities industry members and the public on two issues regarding the Custody Rule
United States
20 Mar 2019
United States
11 Mar 2019
Federal Regulators Issue Key Guidance On Fintech Issues
On July 30, the U.S. Department of the Treasury ("Treasury") and the Office of the Comptroller of the Currency ("OCC") provided important guidance on a broad range of issues confronting the fintech...
United States
9 Aug 2018
OCC Releases Its Risk Appetite Statement
On April 12, the Office of the Comptroller of the Currency ("OCC") released its Risk Appetite Statement, which sets boundaries of acceptable levels of risk in key areas of agency operations.
United States
21 Apr 2016
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