SEC & CFTC Digital Assets
Material regulatory developments from U.S. Securities and Exchange Commission and Commodity Futures Trading Commission are tracked daily by Cresthaven Analytics. Over the last 90 days, 13 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
A selection of recent published briefs; this is not a complete archive.
SEC censures OTC Link LLC and imposes $575,000 penalty for Regulation SCI violations
The SEC issued a settled enforcement order on September 22, 2026 censuring OTC Link LLC, a New York-based broker-dealer, for longstanding violations of Regulation Systems Compliance and Integrity. The order imposes a $57…
Read the full SEC & CFTC Digital Assets brief →SEC Crypto & Digital Assets release pending Cresthaven Analytics full analysis: SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
SEC Crypto & Digital Assets published a regulatory release titled 'SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment'. Cresthaven Analytics' full intelligence brie…
Read the full SEC & CFTC Digital Assets brief →SEC proposes rescinding shareholder proposal resubmission thresholds and overhauling proxy solicitation rules for public companies
The SEC has proposed rescinding the current shareholder proposal rule governing resubmission thresholds and reforming the proxy solicitation process for registered public companies. This marks a structural shift in feder…
Read the full SEC & CFTC Digital Assets brief →U.S. and UK regulators conduct joint tabletop exercise on central counterparty resolution procedures
Senior principals from five U.S. and UK financial regulatory authorities convened on September 3, 2026 for a tabletop exercise on central counterparty (CCP) resolution. This marks active bilateral coordination on cross-b…
Read the full SEC & CFTC Digital Assets brief →SEC charges New Jersey founder and two controlled entities in alleged $16 million Ponzi scheme
The SEC filed charges on September 10, 2026 against Ernest Ossei Boateng and his two controlled entities — Intercontinental Wealth Network LLC and I Wealth Network LP — for allegedly raising approximately $16 million fro…
Read the full SEC & CFTC Digital Assets brief →SEC charges 38 entities with fabricating Form ADV registrations to fraudulently solicit retail investors
On August 27, 2026, the SEC charged 38 entities for filing materially false Forms ADV between 2025 and 2026 to impersonate legitimate registered investment advisers. The action targets coordinated false registration as a…
Read the full SEC & CFTC Digital Assets brief →SEC proposes Regulation Crypto Assets to establish a dedicated registration and disclosure framework for crypto investment contracts
The SEC released a proposed rulemaking on August 18, 2026 titled Regulation Crypto Assets, creating a purpose-built framework for certain investment contracts involving crypto assets. The proposal opens a formal comment …
Read the full SEC & CFTC Digital Assets brief →SEC charges New York boiler room operator and three controlled entities with $74 million pre-IPO retail fraud
The SEC on August 14, 2026, charged Andrew Spaventa and three entities he owned and controlled with fraud and unregistered securities offering violations. The action concerns private funds that purportedly offered pre-IP…
Read the full SEC & CFTC Digital Assets brief →SEC charges New York private fund adviser Adit Ventures Management and CEO Eric Munson with investor fraud
The SEC filed charges on August 10, 2026 against Adit Ventures Management LLC, CEO Eric Munson, and three affiliated general partners for alleged fraud against private fund investors. The action targets a registered inve…
Read the full SEC & CFTC Digital Assets brief →SEC Establishes Dedicated Retail Fraud Working Group Within Division of Enforcement to Target Individual Investor Fraud
The Securities and Exchange Commission announced on July 7, 2026, the formation of the Retail Fraud Working Group, a dedicated unit within the Division of Enforcement structured to identify and prosecute fraud schemes ta…
Read the full SEC & CFTC Digital Assets brief →SEC Crypto & Digital Assets release pending Cresthaven Analytics full analysis: SEC Seeks Public Comment on Novel Exchange-Traded Funds
SEC Crypto & Digital Assets published a regulatory release titled 'SEC Seeks Public Comment on Novel Exchange-Traded Funds'. Cresthaven Analytics' full intelligence brief is pending re-analysis; see the source link below…
Read the full SEC & CFTC Digital Assets brief →SEC opens public comment on novel ETF structures and innovative asset class investment strategies
On June 30, 2026, the SEC issued a request for public comment on ETFs that invest in innovative asset classes or employ novel investment strategies. The request signals a formal agency review of how existing frameworks a…
Read the full SEC & CFTC Digital Assets brief →SEC issues formal public comment request targeting novel ETF structures and innovative asset class investment strategies
The Securities and Exchange Commission issued a formal request for public comment on June 30, 2026, soliciting industry and public input on ETFs seeking exposure to innovative asset classes or employing novel investment …
Read the full SEC & CFTC Digital Assets brief →
Get every SEC & CFTC Digital Assets brief delivered the day it lands
From $149/month
Cresthaven Analytics monitors U.S. Securities and Exchange Commission and Commodity Futures Trading Commission continuously, applying institutional materiality scoring to every release. Subscribers receive structured briefs via email, portal, and (Professional tier and above) real-time alerts.
View all tiers →