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Oct 19, 2023

Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry

By Carl Kennedy Dan Davis Gary DeWaal +1 more...

It is no longer just lions, tigers and bears Dorothy needs to be fearful of, but if she is a potential defendant in a CFTC enforcement...

Oct 17, 2023

CFTC Resuscitates Version of MLB’s Former 'Neighborhood Play' to Sue Principal of Defunct Crypto-Asset Entity Voyager as a Commodity Pool Operator

By Gary DeWaal Dan Davis Christian Hennion

'The Commodity Futures Trading Commission appears to have revived a version of Major League Baseball’s “neighborhood play,” as evidenced...

Sep 11, 2023

US Court Holds DeFi Developer Cannot Be Held Liable for 3d Party Bad Actors; A Week Later, CFTC Suggests Contrary View Over One Commissioner’s Dissent

By Gary DeWaal Dan Davis

A developer and financial backers of a renowned decentralized finance protocol cannot be held liable to private litigants for the...

Aug 03, 2023

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

By Gary DeWaal Dan Davis

One US federal district court judge affirmatively challenged the analysis of another district court judge sitting in the same courthouse...

Jun 12, 2023

No Exemption for DAO from Commodity Exchange Act and CFTC Regulations for Operating a Decentralized Exchange Rules California-Based Federal Court

By Gary DeWaal Dan Davis

A decentralized autonomous organization is an unincorporated association under California and federal law that is liable for violations...

Jun 09, 2023

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

By Gary DeWaal Dan Davis

A framework for a potential bill that would provide (1) the Commodity Futures Trading Commission exclusive jurisdiction over digital...

Jun 07, 2023

Swap Dealers and Futures Commission Merchants: "Let's Talk About Risk," Says CFTC in an Advanced Notice of Proposed Rulemaking

By Gary DeWaal Carl Kennedy

Current risk management program (RMP) requirements of swap dealers (SDs) and future commission merchants (FCMs) will be re-evaluated as...

Dec 11, 2022

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

By Gary DeWaal Dan Davis Danette Edwards

The recent collapse of FTX and other companies transacting in cryptoassets prompted staff of the U.S. Securities and Exchange Commission...

Sep 16, 2022

The Long and Winding Road of JAC Regulatory Alert 14-03

By Stephen Morris

Once, many years ago, the Joint Audit Committee released a Regulatory Alert (RA 14-03) addressed to futures commission merchants that are...

Nov 16, 2021

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

By Gary DeWaal Dan Davis

The Securities and Exchange Commission again rejected an exchange’s application to list and trade shares of a bitcoin ETF on November 12,...

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Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry

CFTC Resuscitates Version of MLB’s Former 'Neighborhood Play' to Sue Principal of Defunct Crypto-Asset Entity Voyager as a Commodity Pool Operator

US Court Holds DeFi Developer Cannot Be Held Liable for 3d Party Bad Actors; A Week Later, CFTC Suggests Contrary View Over One Commissioner’s Dissent

A Disagreement Among Judges in the Same Courthouse Arises in Ruling Denying Motion to Dismiss SEC Enforcement Action Against Terraform Labs

No Exemption for DAO from Commodity Exchange Act and CFTC Regulations for Operating a Decentralized Exchange Rules California-Based Federal Court

Rationality in the Federal Oversight of Digital Assets? It’s Possible Say Members of Two House Committees Proposing New Legislative Framework

Swap Dealers and Futures Commission Merchants: "Let's Talk About Risk," Says CFTC in an Advanced Notice of Proposed Rulemaking

Public Companies with Exposure to Crypto Markets After FTX Collapse: To Disclose or Not to Disclose – You Better Disclose if Material, Says SEC Staff

The Long and Winding Road of JAC Regulatory Alert 14-03

Just Say No: The SEC Again Rejects an Application for the Listing and Trading of Shares of a Bitcoin Exchange-Traded Fund

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