Tagged: clifford chance

Attorney Steven Gatti: “FINRA’s Digital Assets Notice is Sweeping in its Coverage and Raises Important Considerations”

Recently, the Financial Industry Regulatory Authority (FINRA) – the self regulatory organization (SRO) that oversees broker dealers and other financial firms – issued a “Regulatory Notice” on digital assets. Digital assets, as defined by FINRA, include just about anything associated with blockchain including digital assets that… Read More

What Lessons Can Token Issuers Learn from Recent Federal / State Securities Enforcement Activity?

In this article we discuss a number of lessons that we believe issuers of digital tokens can draw from recent enforcement actions brought by federal and state securities regulators. But we first need to define the perimeter we will be covering. There has been a… Read More

Bad News: SAFTs May Not Be “Compliant” After All

The Securities & Exchange Commission (SEC) has reportedly sent a wave of subpoenas and information requests to companies engaged in Initial Coin Offerings (ICOs). The SEC scrutiny is perhaps not surprising, given that, as Crowdfund Insider writes, “if you invest in an ICO, the play… Read More

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