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In some cases, SEC enforcement actions have led to a concerns for financial advisors. Key Takeaways Pervasive uncertainties around own regulatoons, responsibilities, and jurisdiction.
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SECRET SEC Crypto rules just passed!To settle the SEC's charges, Nexo agreed to pay a $ million penalty and cease its unregistered offer and sale of the EIP to U.S. investors. 1/19/ SEC v. Firstly, it could mandate that all cryptocurrency exchanges obtain broker-dealer registration under Section 15 of the Securities Exchange Act of. If a cryptocurrency meets the criteria to be an investment contract, the SEC can require it to be registered as an investment and regulate it. If it is offered.