Tagged: sec

August 19, 2026 @ 9:16 am By JD Alois  |  

It is a big week in Washington, D.C., for the crypto and prediction market industries. First, the Securities and Exchange Commission announced new rules, Regulation Crypto Assets, to provide a regulated path to issue and trade certain crypto assets. The move was somewhat surprising, as… Read More

August 18, 2026 @ 5:45 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) delivered a bit of a surprise today by proposing new rules for crypto offerings. Regulation Crypto Assets would clarify how securities laws apply to certain digital asset offerings, preempt state authority, and support secondary trading. The Commission had scheduled… Read More

August 18, 2026 @ 10:15 am By JD Alois  |  

The Securities and Exchange Commission has charged an individual and three entities they controlled for selling pre-IPO shares at significant markups that were not disclosed. According to an SEC release, Andrew Spaventa and The Spaventa Group LLC, TSG Capital Advisors LLC, and TSG Alpha Partners… Read More

August 17, 2026 @ 10:55 am By JD Alois  |  

Fireblocks, a blockchain infrastructure firm that safeguards digital assets, has enlisted the assistance of former US SEC Commissioner Elad Roisman. Over the years, Fireblocks has expanded its digital asset services beyond custody to include wallets, stablecoins, trading, tokenization, payments, and more. The company works with… Read More

August 17, 2026 @ 10:36 am By JD Alois  |  

The Crowdfunding Professional Association (CfPA) has posted an annual report on best practices for online capital formation under Regulation CF (Reg CF), specifically addressing Form C-AR. Reg CF is a securities exemption that allows issuers to raise up to $5 million in an online solicitation… Read More

August 17, 2026 @ 9:22 am By Omar Faridi  |  

Bitcoin trading activity has remained subdued through the later part of summer, but Strategy (NASDAQ:MSTR) President and CEO Phong Le believes the coming autumn months could deliver a notable pickup in market energy. In a recent social media statement, Le outlined a series of regulatory,… Read More

August 15, 2026 @ 10:37 pm By Omar Faridi  |  

Cboe BZX Exchange, which is part of Cboe Global Markets (Cboe: CBOE), has submitted a formal request to the US Securities and Exchange Commission (SEC) seeking authorization to list and trade a new series of leveraged exchange-traded funds, including products designed to deliver three times… Read More

August 14, 2026 @ 8:41 am By JD Alois  |  

The Securities and Exchange Commission has postponed today’s open meeting of the Commission, scheduled to address new rules for digital assets, also known as Regulation Crypto Assets. The meeting was apparently canceled because of a scheduling conflict and is expected to be revisited later. The agenda… Read More

August 13, 2026 @ 10:09 am By JD Alois  |  

Tomorrow the Commission will meet ot discuss, and potentially approve, “Regulation Crypto.” An open meeting is scheduled for August 14 at 10 AM ET. According to the agenda, the Securities and Exchange Commission (SEC), Division of Corporation Finance, will present new rules for a bespoke… Read More

August 13, 2026 @ 8:36 am By Omar Faridi  |  

The Securities and Exchange Commission’s (SEC), Division of Investment Management has issued a no-action letter on August 12, 2026, allowing Franklin Templeton’s registered funds to invest in the firm’s own blockchain-based money market fund for cash management purposes. The letter addresses custody arrangements under Section… Read More

August 12, 2026 @ 9:32 pm By JD Alois  |  

Yesterday, the Securities and Exchange Commission, along with the Commodity Futures Trading Commission, filed fraud charges against Goliath Ventures and its founder, Christopher Delgado. The enforcement action alleges that Goliath and its founder created a $425 million crypto Ponzi scam. From at least January 2023… Read More

August 12, 2026 @ 12:57 pm By Omar Faridi  |  

Federal market regulatory authorities in the US including the SEC and CFTC have escalated their response to a major alleged cryptocurrency fraud involving Goliath Ventures Inc. and its founder. On August 11, 2026, the Securities and Exchange Commission filed civil charges in the U.S. District… Read More

August 11, 2026 @ 12:30 pm By JD Alois  |  

Netcapital (NASDAQ:NCL), an early entrant in the securities crowdfunding sector, has been charged with fraud. According to a report by Reuters, the Securities and Exchange ​Commission has filed charges in Boston Federal Court alleging that NetCapital improperly recorded $14 million in revenue from consulting by… Read More

August 10, 2026 @ 5:31 pm By JD Alois  |  

The Securities and Exchange Commission has filed fraud charges against investment adviser Adit Ventures Management, its CEO Eric Munson, and affiliated general partners. According to a public statement, the defendants used false claims to persuade investors to contribute money to Adit-managed funds, falsely claiming that… Read More

August 7, 2026 @ 2:42 pm By JD Alois  |  

The Securities and Exchange Commission (SEC) has scheduled a roundtable for next month that will discuss 24 hour trading for US equity markets. The roundtable will address challenges and opportunities for an updated approach in markets that are largely automated. While the SEC will discuss,… Read More

August 6, 2026 @ 2:58 pm By JD Alois  |  

GUARDD, founded by Sherwood Neiss who is also the co-founder of Crowdfund Capital Advisors (CCA) and one of the authors of the JOBS Act which approved online capital formation, recently met with the Securities and Exchange Commission (SEC) to discuss secondary trading of tokenized exempt… Read More

August 6, 2026 @ 2:27 pm By JD Alois  |  

The Securities and Exchange Commission has added a new Financial Reporting and Accounting Unit to its Division of Enforcement that is described as working across the agency to make certain all divisions are aligned in enforcing securities laws and the SEC’s goals. Accounting and forensic… Read More

August 3, 2026 @ 12:42 pm By Omar Faridi  |  

The US Securities and Exchange Commission (SEC) has formally granted a petition from CME Group seeking review of a prior staff decision that conditionally approved Nasdaq PHLX’s plans to list and trade cash-settled Bitcoin index options. As a result, the approval remains stayed while the… Read More

July 30, 2026 @ 6:19 pm By JD Alois  |  

The Securities and Exchange Commission, Small Business Capital Formation Advisory Committee (SBCFAC), will continue its discussion on initial public offerings (IPOs) next week due to a truncated meeting that took place on July 21st. The meeting, which will be livestreamed on the SEC website, will… Read More

July 30, 2026 @ 12:49 pm By JD Alois  |  

The Securities and Exchange Commission held its annual Small Business Forum back in March of this year. This past week, the SEC published recommendations from participants in the gathering. These recommendations are available here. Several of the suggestions impact online capital formation, including Reg CF…. Read More