The SEC charged an individual and his business for failing to register as a dealer in connection with a "convertible notes business."

In an amicus curiae brief, the New Civil Liberties Alliance urged the U.S. Court of Appeals for the Fourth Circuit to recognize that FINRA "wield[s] vast [executive] power typically exercisable only by government officials" and should be subject to the same constitutional restraints as the government.

A blockchain software technology company sued the SEC to prevent it from declaring Ethereum a security.

The SEC requested comment on a proposed rule change by the Nasdaq Stock Market that would allow the listing of exchange-traded funds based on Ethereum.

The SEC delayed its decision on the approval of options trading for spot Bitcoin ETFs following proposed rule changes by various exchanges.