A cryptocurrency firm settled SEC charges for conducting an unregistered securities offering of a crypto asset lending product.
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The New York State Office of the Attorney General issued guidance on state registration and filing requirements for brokers, dealers and investment advisers. The new guidance "elaborates" on 2020 rule changes that transitioned filings and payments to standardized national systems.
The Office of New York Attorney General Letitia James filed a motion for a temporary restraining order against a digital asset company and its senior officers "to immediately halt the continued illegal and fraudulent operations of the cryptocurrency trading platform."
The SEC and the New York Attorney General charged a digital asset trading company and its CEO with executing an unregistered, unexempt securities offering.
The New York State Investor Protection Bureau finalized two rules that will modernize registration and filing requirements by transitioning filings and payments to standardized national systems.