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.
CFTC international-affairs director points to cross-border oversight gaps in on-chain markets
On Sept. 3, 2026, Mel Gunewardena, the CFTC Director of International Affairs and Senior Markets Advisor, spoke at George Washington University.
FINRA proposes fraud holds that expressly cover customer crypto assets
On Sept. 3, 2026, the SEC published notice of a FINRA proposal to amend FINRA Rules 0150, 2165 and 4512 and adopt Rule 2166.
SEC proposes transfer-agent rules that would let the official shareholder record sit on a blockchain
On Sept. 1, 2026, the SEC proposed new transfer-agent rules and forms in Release No.
Cboe equities exchanges extend Trading Platform data fees to tokenized and decentralized venues
On Sept. 1, 2026, Cboe EDGA, BZX, EDGX and BYX filed fee-schedule amendments that took effect at once, and the Federal Register noticed them on Sept.
OCC and FDIC adopt narrower supervisory standards that cover stablecoin-law violations
On Sept. 1, 2026, the OCC and FDIC adopted a joint final rule on unsafe or unsound practices and matters requiring attention (MRAs), effective Nov.
SEC and CFTC delay Form PF digital-asset reporting amendments to July 2027
On Aug. 31, 2026, the SEC and CFTC adopted a joint final rule that moves the compliance date for the February 2024 Form PF amendments from Oct.
OFAC extends Iran sanctions to the digital-asset sector and lists linked wallets
Effective Aug. 24, 2026, OFAC determined that section 1(a)(i) of Executive Order 13902 applies to the digital-asset sector of the Iranian economy, along with four other newly named sectors.
SEC proposes a $123 million distribution plan for UST investors
The SEC published a proposed plan to distribute the Tai Mo Shan Fair Fund to investors.
CME certifies offsets between standard and micro Bitcoin and Ether futures
CME certified amendments that add Bitcoin, Micro Bitcoin, Ether and Micro Ether futures to Rule 855’s table for offsetting positions in contracts of different sizes.
Nasdaq offers a paid liquidity-provider program to qualifying crypto ETPs
On Aug. 18, 2026, a Nasdaq rule filing took effect at once.
Federal court enters supplemental CFTC sanctions against former FTX and Alameda executives
On Aug. 18, 2026, the U.S. District Court for the Southern District of New York entered supplemental consent orders against former Alameda CEO Caroline Ellison and FTX and Alameda co-founder Gary Wang.
SEC proposes crypto-asset offering exemptions and an investment-contract safe harbor
The SEC proposed Regulation Crypto Assets for certain investment contracts that involve crypto assets.
Treasury proposes GENIUS Act rules on who may issue and offer payment stablecoins in the U.S.
Treasury proposed regulations to implement section 3 of the GENIUS Act.
SEC staff lets Franklin funds hold on-chain money-fund shares with their affiliated transfer agent as custodian
On Aug. 12, 2026, the SEC Division of Investment Management issued a no-action letter to Franklin Templeton.
SEC approves more weekly expirations for qualifying ISE ETF options, including IBIT
The SEC approved Nasdaq ISE’s expansion of its Short Term Option Series Program.
CFTC alleges a $397 million crypto liquidity-pool fraud by Goliath Ventures
On Aug. 11, 2026, the CFTC filed a federal civil complaint against Goliath Ventures Inc.
Nasdaq ISE proposes broader options-listing criteria for digital-commodity trusts
Nasdaq ISE proposed in SR-ISE-2026-42 to align its options-listing criteria with Nasdaq’s revised standards for Commodity-Based Trust Shares.
FinCEN renews outbound-transfer reporting order for two Minnesota counties
FinCEN renewed a Geographic Targeting Order for banks and money transmitters with a branch, subsidiary or office in Hennepin or Ramsey County, Minnesota.
CFTC publishes its conflicts and affiliations proposal in the Federal Register
On Aug. 6, 2026, the CFTC published its Conflicts and Affiliations proposal in the Federal Register.
U.S. and UK regulators report on stablecoin and digital-asset work
On Aug. 4, 2026, the U.S.-UK Financial Regulatory Working Group published a joint statement after its summer meeting.
FDIC approves deposit insurance for a new national bank that serves digital-asset firms
On Aug. 4, 2026, the FDIC approved the deposit insurance application of Augustus National Bank, N.A., a newly chartered national bank in Dallas.
SEC settles crypto wash-trading claims against market maker Gotbit
On Aug. 3, 2026, the SEC announced a proposed final consent judgment against Gotbit Consulting LLC, a crypto market maker.
SEC agrees to review the approval of Nasdaq PHLX bitcoin index options
The Commission granted a petition for review of the order approving Nasdaq PHLX’s proposal to list and trade Nasdaq Bitcoin Index Options.
SEC approves FINRA amendments on underwriting pay and private-placement filings
The SEC approved FINRA amendments to Rule 5110.
SEC Commissioner Peirce raises open securities-law questions on crypto vault and lending strategies
SEC Commissioner Peirce named questions that crypto vault and lending strategies raise under the law on securities, investment companies, notes and advisers, and invited comment.
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.