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Searching Content indexed under Securities by BakerHostetler ordered by Published Date Descending.
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1
SEC, DOJ And State Agency Enforcement Actions For ICOs And Crypto Fraud Schemes
In a settlement announced this week, the Securities and Exchange Commission (SEC) ordered EOS developer Block.one to pay a $24 million penalty...
United States
16 Oct 2019
2
Cryptocurrency Service Providers Target Mainstream Investors, Finra Application Approved
A credit rating agency owned by a global financial services firm recently provided new details on its blockchain initiatives, including efforts to publish...
United States
16 Oct 2019
3
Multiple SEC Enforcement Actions, New Treasury Sanctions, More Crypto-Mining Malware Detected
This week, the LA office of the SEC brought an action against a Cayman Islands business, ICOBox, and its founder based in Beverly Hills, California, Nikolay Zvodokimov.
United States
25 Sep 2019
4
SEC Settles Charges, Treasury Hears Testimony, Cryptojacking Report Released
Late last week, the SEC announced that it has settled charges with Bitqyck Inc. and its founders, Bruce Bise and Sam Mendez.
United States
11 Sep 2019
5
Time To Give Back? Strategies For Oil And Gas Producers Looking To Distribute Free Cash Flow To Stockholders
Shale explorers have long felt the pressure from public markets to generate positive free cash flow ‒ net income in excess of capital expenditure.
United States
9 Sep 2019
6
SEC Proposes Amendments To Modernize Business, Legal Proceedings And Risk Factor Disclosures Under Regulation S-K
On Aug. 8, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to modernize the description of business (Item 101)
United States
6 Sep 2019
7
U.S. Enforcement Actions Continue From OFAC, SEC, DoJ And IRS
On Wednesday, the U.S. Office of Foreign Assets Control (OFAC) identified three Chinese nationals and a related entity for allegedly manufacturing fentanyl and other drugs
United States
27 Aug 2019
8
Blockchain Capital Markets Platforms Achieve And File For Regulatory Approvals
The Intercontinental Exchange recently received approval from the New York State Department of Financial Services for its emerging bitcoin futures exchange platform
United States
27 Aug 2019
9
ICO Enforcement Actions Continue Amid Tax Bill, Senate Hearing and UN Report
Earlier this week, cease and desist orders were issued against two online investment entities, Zoptax LLC and Unocall, as part of an ongoing effort coordinated by the North American
United States
22 Aug 2019
10
Multiple ICO Enforcement Actions By SEC And State Regulators
This week the U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against SimplyVital Health Inc
United States
22 Aug 2019
11
SEC Issues No-Action Letter, Financial Services Firms And Major Exchanges Make Moves, New Products Launched In Europe
This week, the U.S. Securities and Exchange Commission (SEC) issued to Pocket Full of Quarters Inc. (PoQ) a no-action letter related to PoQ's distribution of its Quarters product, an ERC20 token.
United States
20 Aug 2019
12
SEC Adopts Investment Adviser And Broker-Dealer Rulemaking Package, Highlighted By The New "Best-Interest" Standard
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers
United States
20 Aug 2019
13
SEC Deliberates And Seeks Input To Ease Access To Unregistered Offerings
On June 18, 2019, the Securities and Exchange Commission (SEC) requested public comment on "Harmonization of Securities Offerings Exemptions"
United States
20 Aug 2019
14
SEC Issues Statement On Digital Asset Custody, Approves First Reg A+ Token Offerings
This week the U.S. Securities and Exchange Commission (SEC) and the U.S. Financial Industry Regulatory Authority (FINRA) issued a "Joint Staff Statement
United States
19 Aug 2019
15
Cracking Down On Crypto Around The World
This week, the Securities and Exchange Commission (SEC) announced an action against Kik Interactive, Inc., alleging an illegal $100 million digital securities offering through which more
United States
26 Jun 2019
16
SEC Enforcement Actions Continue As New Cryptocurrency-Based Assets Launch
The SEC has brought a civil injunctive action in federal court against a California man claiming to be selling instructional packages,
United States
17 Jun 2019
17
SEC Proposes Changing Definitions Of Accelerated Filer And Large Accelerated Filer To Provide Relief To Smaller Reporting Companies
On May 9, 2019, the SEC proposed amendments to the accelerated filer and large accelerated filer definitions to "reduce costs for certain lower-revenue companies by more appropriately tailoring the types of companies ...
United States
6 Jun 2019
18
Show Me The Data: Investors Demand Better ESG Disclosures
Asset managers are always looking for a valuation edge. But even when key factors are identified, the data may not be available.
United States
4 Jun 2019
19
Blockchain Capital Markets Diversify Amid ICO Slumps; Regulators Issue New Warnings
As of this week, the World Bank and Commonwealth Bank have enabled secondary market trading recorded on the blockchain for bond-i ...
United States
31 May 2019
20
SEC Proposes Simplified Financial Disclosures Relating To Acquisitions And Dispositions Of Businesses
On May 3, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments, available here, to its rules and forms to simplify the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses
United States
28 May 2019
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