Commentary by Steven Lofchie
In a letter to SEC Chair Gary Gensler, Senator Elizabeth Warren requested information on the SEC's authority to regulate cryptocurrency exchanges.
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Commentary by Steven Lofchie
The SEC charged three individuals with an insider trading scheme involving disclosure of confidential information in connection with a soft drink manufacturer's shift in its primary business "towards the exploration of and investment in opportunities that leverage the benefits of blockchain technology."
The CFPB highlighted findings from supervisory examinations completed in 2020.
FINRA asked that member firms notify their risk-monitoring analysts if the firms currently engage in, or intend to engage in, any activities involving digital assets.
A firm settled NYSE charges for failing to have in place a reasonable supervisory system designed to detect errors in "Market on Close" orders.