Sikora Jr., John J.; Wink, Stephen P.; Yatter, Douglas K.; … - In: Journal of Investment Compliance 20 (2019) 1, pp. 40-43
Purpose: To analyze the settled order of the US Securities and Exchange Commission (SEC) against TokenLot LLC (TokenLot), which was the SEC’s first action charging a seller of digital tokens as an unregistered broker-dealer. Design/methodology/approach: Analyzes the SEC’s order within the...