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 bars Prosperity operator Michael Talento over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Michael Talento for unregistered brokerage through Prosperity.
SEC bars Prosperity operator Michael Levi Peters over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Michael Levi Peters for unregistered brokerage through Prosperity's crypto-funded trading platform.
SEC bars FxSway operator Lewis Neal over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Lewis Neal for unregistered brokerage through FxSway.
SEC bars Prosperity operator Jordan Morgan over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Jordan Morgan for unregistered brokerage through Prosperity's crypto-funded trading platform.
SEC bars Envi operator Tyler MacKechnie over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Tyler MacKechnie for unregistered brokerage through Envi.
SEC bars KOT4X operator Quillan Black over unregistered brokerage
On Sept. 30, 2026, the SEC issued a settled administrative and cease-and-desist order against Quillan Black for unregistered brokerage through KOT4X's crypto-funded trading platform.
OFAC lists seven TRX addresses in its Tren de Aragua network designations
On Sept. 30, 2026, OFAC added individuals and entities linked to the Tren de Aragua financial network to its SDN List.
SEC alleges crypto-funded confidence scams at Cryptoaiml and TSAI
On Sept. 29, 2026, the SEC filed two complaints in the Southern District of New York alleging confidence scams in which investors paid with crypto.
CFTC staff adds tokenized investments and blockchain records to its crypto FAQs
On Sept. 24, 2026, staff of three CFTC divisions updated their FAQs on registrant activities relating to crypto assets and blockchain technologies.
Federal Reserve proposes GENIUS Act standards and an approval process for bank stablecoin issuers
On Sept. 24, 2026, the Federal Reserve Board proposed two rules to carry out its duties under the GENIUS Act.
SEC grants ARK relief for a tokenized interval-fund share class
On Sept. 21, 2026, the SEC issued an exemptive order to ARK Venture Fund and ARK Investment Management LLC, effective at once.
SecondaryDAO asks the SEC for crowdfunding exemptions for tokenized real property
On Sept. 19, 2026, SecondaryDAO NA LLC and SecondaryDAO SA de CV petitioned the SEC to create exemptions for offerings of up to $10 million in tokenized membership interests.
SEC grants a five-year innovation exemption for on-chain trading of tokenized NMS stocks
On Sept. 17, 2026, the SEC issued an order granting temporary conditional exemptive relief for certain distributed-ledger trading venues and liquidity providers for tokenized NMS stocks.
CFTC staff extends registration relief to all passive derivatives-trading software providers
On Sept. 17, 2026, the CFTC Market Participants Division issued Staff Letter No.
OFAC adds BitBank and its developer to Iran digital-asset sanctions
On Sept. 17, 2026, OFAC added the Iranian digital-asset exchange BitBank, its software developer Pishtaz Simorgh Electronic Trade Company and three associated executives to the SDN List under Executive Order 13902.
House passes bill to fund cryptocurrency-scam investigations and blockchain tracing
On Sept. 15, 2026, the House passed H.R. 2978, the Guarding Unprotected Aging Retirees from Deception (GUARD) Act of 2026.
SEC Chair asks staff to draft a conditional crypto-custody proposal
On Sept. 14, 2026, SEC Chair Paul Atkins said at the Solana Policy Institute Summit that he had asked staff to develop a proposal to clarify crypto-asset custody for investment advisers and regulated funds.
House bill proposes broad changes to digital-asset taxation
On Sept. 14, 2026, H.R. 10357, the Digital Asset Tax Certainty Act, was introduced in the House and referred to the Committee on Ways and Means.
Petitioner asks the SEC to require verifiable disclosure of digital-asset reserves
On Sept. 13, 2026, petitioner Han Wooram submitted a petition for rulemaking to the SEC on verifiable digital asset reserve disclosure.
Polymarket US self-certifies a class of event contracts on cryptocurrency launches
On Sept. 11, 2026, Polymarket US (QCX LLC) submitted a class self-certification to the CFTC under 17 C.F.R.
FinCEN lists digital-asset warning signs in an Iran whistleblower bulletin
On Sept. 10, 2026, FinCEN issued a whistleblower bulletin on Iran-related illicit finance.
OFAC designates Xinbi Guarantee and lists its TRX addresses
On Sept. 9, 2026, OFAC designated Xinbi Guarantee, Anwen Technology and SafeW Technology under E.O.
House bill would require federal agencies to find and audit cryptocurrency in their evidence
On Sept. 8, 2026, Representatives Darrell Issa and Lance Gooden introduced H.R.
SEC extends broader crypto ETP listing standards to Nasdaq Texas
On Sept. 3, 2026, the SEC approved Nasdaq Texas's amended Rule 5711(d) in Release 34-106268, published Sept.
FinCEN issues warning signs and reporting instructions for digital-asset scam centers
On Sept. 3, 2026, FinCEN issued Alert FIN-2026-Alert005.
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.