A digital token issuer settled SEC charges for offering and selling securities without registering with the SEC and for making materially false and misleading statements regarding "the viability of its platform and the timetable for the issuance of the tokens."
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21980 News Results
A bank settled FinCEN charges for "failing to implement and maintain" an effective AML program.
An SEC proposal to amend rules and forms that would "mitigate the risk of unregistered distributions in connection with sales of market-adjustable securities" was published in the Federal Register.
New York State Department of Financial Services Superintendent Linda A. Lacewell criticized two federal rules on investor risk and called on financial regulators to mirror actions taken by NYDFS on climate change risk.
A CFPB final rule amending Regulation F to clarify certain restrictions and address predatory debt collection practices was published in the Federal Register.