{"id":807,"date":"2018-09-20T18:11:31","date_gmt":"2018-09-20T18:11:31","guid":{"rendered":"http:\/\/localhost\/?p=807"},"modified":"2018-09-20T18:14:13","modified_gmt":"2018-09-20T18:14:13","slug":"one-two-three-punch-sec-and-finra-announce-actions-against-unregistered-broker-digital-asset-manager-and-finra-registered-person","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2018\/09\/20\/one-two-three-punch-sec-and-finra-announce-actions-against-unregistered-broker-digital-asset-manager-and-finra-registered-person\/","title":{"rendered":"One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person"},"content":{"rendered":"

On September 11, the Securities and Exchange Commission and Financial Industry Regulatory Authority separately announced three \u201cfirst of their kind\u201d enforcement actions related to digital assets. Over the past year, regulators have repeatedly stressed the need for compliance with the securities laws when transacting in digital assets that are securities. These actions emphasize the need for all market participants \u2014 not just issuers \u2014 to comply with the securities laws, and further underscore that compliance with the securities laws extends beyond avoiding fraudulent conduct.<\/p>\n

Read More Here<\/a><\/p>\n

Additional contributors to this post:<\/p>\n

Nathan A. Howell<\/a>,\u00a0NHOWELL@SIDLEY.COM<\/a><\/p>\n

Verity A. Van Tassel Richards<\/a>, VVANTASSELRICHARDS@SIDLEY.COM<\/a><\/p>\n

Daniel Engoren<\/a>,\u00a0DENGOREN@SIDLEY.COM<\/a><\/p>\n

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 <\/p>\n","protected":false},"excerpt":{"rendered":"

On September 11, the Securities and Exchange Commission and Financial Industry Regulatory Authority separately announced three \u201cfirst of their kind\u201d enforcement actions related to digital assets. Over the past year, regulators have repeatedly stressed the need for compliance with the securities laws when transacting in digital assets that are securities. These actions emphasize the need … Continue reading One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":87,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24],"tags":[],"class_list":["post-807","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t