A broker-dealer settled FINRA charges for failing to establish and maintain supervisory practices regarding trading during the restricted period of a public offering.

The CFTC filed a civil enforcement action against a South African investment fund and its CEO for an allegedly fraudulent scheme that raised over $1.7 billion worth of Bitcoin from the public.

The SEC disapproved rule changes proposed by NYSE Arca, Inc. that would allow the listing and trading of shares of Bitwise Bitcoin ETP Trust and Grayscale Bitcoin Trust. The SEC concluded that the Exchange had not met its burden in creating a way to prevent manipulation of the underlying asset.

A broker-dealer settled FINRA charges for sending trade confirmations to customers that were materially inaccurate.