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- Administrative proceedings; Dodd-Frank; Securities Regulation; Chamber of Commerce; Fair enforcement; Admissibility of evidence; Hearsay; Discovery; Securities and Exchange Commission (SEC) Rules of Practice; Administrative guidelines; History of the SEC; Securities Exchange Acts of 1933 and 1934; Insider Trading Sanctions Act of 1984 (ITSA); Securities Fraud Enforcement Act of 1988 (ITSFEA); Securities Enforcement Remedies and Penny Stock Reform Act of 1990; Sarbanes-Oxley; Administrative Law Judges (ALJs); Statutory interpretation; Chevron deference; Forum selection; Administrative rulemaking; Code of Federal Regulations (CFR); CFR Rule 360; CFR Rule 233; CFR Rule 320; Pre-hearing length; Depositions (1)
- Securities exchange commission; SEC; DOJ; Department of Justice; cryptocurrency; enforcement; investors; ponzi scheme; prosecution; defendant; section 5(a); Section 5(c); Securities Act of 1933; Facebook; Libra; banking; bitcoin; Federal Trade Commission; FTC; Department of the Treasury; dark web; futures; CME Group; Intercontinental exchange; New York Stock Exchange; blockchain; Warren Buffet; United States v. Ulbricht; Silk Road; Dread Pirate Roberts; Internal Revenue Service; Securities and Exchange Commission; SEC; Initial Coin Offerings; ICO; SEC v. W.J. Howey Co.; Howey test; Jump-Start Our Business Startups Act; JOBS Act; penny stocks; SEC v. Blockvest LLC; Blockchain Exchange Commission; United States v. McDonnell; wire fraud; SEC v. Natural Diamonds Investment Co.; mining; United States v. Fowler; DAO Report; Ether; Securities and Exchange Act of 1934; FBI; U.S. Attorney; Section 17(a); Section 10(b); Titanium Blockchain; Exchange Traded Fund; ETF; Regulation A+; foreign issuer; Division of Corporate Finance; bad actor; Rule 262; Winklevoss; Coinbase; Financial Action Task Force; FATF; FINRA; Financial Industry Regulatory Authority; SRO; self-regulatory organization (1)
Articles 1 - 2 of 2
Full-Text Articles in Securities Law
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
Brooklyn Journal of Corporate, Financial & Commercial Law
This article looks at how the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have pursued cases involving cryptocurrencies. A number of prosecutions have been brought against defendants who misled investors into believing that they were obtaining cryptocurrencies when in fact there were simply false statements and schemes to defraud, such as Ponzi schemes. When a company has attempted to issue a cryptocurrency to investors, the SEC has relied on Section 5(a) and 5(c) of the Securities Act of 1933 to require that issuers file a registration statement with the Commission. This is not an easy process …
The Choice Is (Not) Yours: Why The Sec Must Further Amend Its Rules Of Practice To Increase Fairness In Administrative Proceedings, Madeline Ilibassi
The Choice Is (Not) Yours: Why The Sec Must Further Amend Its Rules Of Practice To Increase Fairness In Administrative Proceedings, Madeline Ilibassi
Brooklyn Journal of Corporate, Financial & Commercial Law
The Securities and Exchange Commission (SEC) plays an extremely important role within the securities industry—it oversees the financial markets, protects consumers, and maintains market efficiency. One of the most important (and recently one of most criticized) responsibilities of the SEC is its duty to enforce the securities laws and punish violators. During the past two decades, and especially after the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, the SEC’s Division of Enforcement has grown substantially and has utilized administrative enforcement proceedings at an increasing rate. However; this utilization has been occurring without any substantial …