Digital-asset regulation for RIAs
Each entry names the authority that acted, what changed, whom it affects, the date, and what an advisor must do next.
SEC charges BG Wealth and DSJ Exchange over alleged crypto fraud exceeding $130 million
The SEC sued BG Wealth Sharing Ltd and DSJ Exchange PTY Ltd on October 29, 2026, alleging crypto fraud exceeding $130 million.
SEC charges DEBT Box partners over alleged $200 million fraud
The SEC sued DEBT Box partners and principals on October 28, 2026, alleging an offering fraud involving at least $200 million.
FINRA outside-activity requirements for crypto assets
FINRA announced on October 26, 2026, that adopted Rule 3290 takes effect on October 25, 2027, according to Regulatory Notice 26-20.
SEC examination priorities for tokenized securities in fiscal year 2027
On October 23, 2026, SEC staff identified tokenization as a fiscal year 2027 examination focus for clearing agencies and Regulation SCI entities.
OCC revised stablecoin reporting forms
The OCC published revised payment stablecoin reporting forms on October 21, 2026, and requested further public comment.
OCC stablecoin application and waiver guidance
The OCC issued stablecoin application and waiver guidance on October 21, 2026.
OCC final stablecoin issuance requirements
The OCC adopted its payment stablecoin framework on October 21, 2026, with an effective date of January 18, 2027.
EDGX listing standards for options on trusts holding multiple crypto assets
The SEC designated EDGX's crypto trust options standards operative upon filing on October 6, 2026, in its October 19 notice.
Coinbase Coin50 futures expiration proposal
Coinbase Derivatives filed amendments on October 19, 2026, to remove scheduled expiration from six futures contracts, including Coin50.
Kalshi crypto perpetual fees and FCM rebates
Kalshi's October 19, 2026 filing specifies separate exchange fees for crypto perpetual trades cleared through FCMs.
Cboe BZX options standards for trusts holding multiple crypto assets
The SEC waived Cboe BZX's operative delay on October 13, 2026, making its crypto-trust options amendments operative upon the September 29 filing.
SEC approves Cboe binary options on bitcoin-mining and crypto-trading metrics
On Oct. 13, 2026, the SEC approved Cboe's rule filing SR-CBOE-2026-061, as amended, in Release 34-106659.
EminiFX final judgment and cryptocurrency fraud jurisdiction
Judge Valerie Caproni directed final judgment against Eddy Alexandre and EminiFX on October 8, 2026, including a $45,148,500 civil penalty.
CFTC publishes an advance notice on retail crypto transactions and crypto markets
On Oct. 8, 2026, the CFTC issued an advance notice of proposed rulemaking, RIN 3038-AF80, titled Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets.
FinCEN withdraws its unhosted-wallet transaction reporting proposal
On Oct. 6, 2026, FinCEN withdrew, effective that day, its December 2020 proposal on certain transactions involving convertible virtual currency or digital assets.
FinCEN withdraws its finding and reporting proposal on international crypto mixing
On Oct. 6, 2026, FinCEN withdrew its October 2023 Section 311 finding on international convertible-virtual-currency mixing, effective that day.
Treasury and IRS exclude digital-asset donations from the scholarship credit’s cash contributions
On Oct. 2, 2026, Treasury and the IRS published binding temporary regulations, TD 10057, on parts of the section 25F scholarship tax credit for contributions in 2027 and later tax years.
SEC approves Cboe BZX listing of 3x bitcoin- and ether-futures ETPs
On Oct. 2, 2026, the SEC approved SR-CboeBZX-2026-065 in Release 34-106577.
FinCEN issues A7A5 and wrapped-token warning signs for A7 Network screening
On Oct. 1, 2026, FinCEN issued Alert FIN-2026-Alert007 on the A7 Network.
FinCEN proposes to bar virtual-currency transfers involving A7 sub-agents
On Oct. 1, 2026, FinCEN released a section 9714 finding and a proposed rule, RIN 1506-AB77, on A7 Network sub-agents.
OFAC designates A7 Network as a transnational criminal organization
On Oct. 1, 2026, OFAC added A7 Network to the SDN List under its transnational criminal organization program.
Senators introduce the ADAPT Act to change taxation of stablecoins, staking and digital-asset trading
On Sept. 30, 2026, senators introduced S.
Treasury adopts procedures for certifying state stablecoin regimes, with submissions to open later
On Sept. 30, 2026, Treasury published an interim final rule, effective at once, on how the Stablecoin Certification Review Committee reviews state regulatory regimes for payment stablecoins.
SEC suspends BitConnect promoter Trevon Brown from association with regulated firms
On Sept. 30, 2026, the SEC entered a settled administrative order that suspends Trevon Brown for 12 months from association with brokers, dealers, investment advisers and other specified regulated entities.
SEC bars KOT4X operator Anthony Tyler Williams over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Anthony Tyler Williams for unregistered brokerage through KOT4X.
Status labels
Each entry carries a status: a binding action, a proposal, guidance, enforcement, or a political signal. A speech or a bill changes no obligation until a rule or a law follows. Every entry starts from the primary document and lists what is still unsettled.
Coverage and corrections
This page follows the U.S. authorities that matter to registered investment advisers, plus state actions of national weight. A published version never changes. A correction or a changed reading creates a new version at the same address, and every earlier version stays in the JSON file.
Educational analysis for financial professionals. Not legal, tax, compliance, or investment advice. Verify current primary sources and consult qualified counsel before implementation.