Two crypto firms, one an issuer and the other its agent, settled with the SEC for engaging in the unregistered offer and sale of securities through a crypto asset lending program.
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The Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”
An SEC final rule expanding the definition of "broker-dealer" under the Securities Exchange Act was published in the Federal Register.
A cryptocurrency exchange settled charges for failing to register with the SEC as a "dealer" in securities.
The CFTC issued Orders permitting the clearing activities of the Taiwan Futures Exchange and ICE NGX Canada.