The SEC charged five unregistered broker-dealers and four unregistered investment companies with deceptive pre-initial public offerings.
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SEC Chair Gary Gensler and CFTC Chair Rostin Behnam highlighted U.S. regulatory initiatives in "new era" for derivatives.
The CFTC filed a federal complaint and obtained a restraining order against a corporation and several individuals for misappropriating over $6 million in customer funds in connection with an offering of a virtual currency.
The CFTC filed two separate civil enforcement actions in the U.S. District Court for the Eastern District of New York charging entities with fraud in connection with cryptocurrency-related activities.
A California-based company shut down its initial coin offering and issued refunds to investors after the SEC initiated an investigation into its operations.