RIA digital-asset regulatory change ledger
Which authority changed what, for whom, on what date, and what an advisor must do next.
SEC grants ARK relief for a tokenized interval-fund share class
The SEC granted ARK Venture Fund and ARK Investment Management immediately effective exemptive relief permitting the requested multi-class structure, including a Tokenized Class whose ownership may be recorded using…
SEC grants a five-year innovation exemption for on-chain trading of tokenized NMS stocks
The SEC granted temporary conditional relief, effective September 17, 2026 through September 17, 2031, allowing qualifying Tokenized Securities Venues to operate permissioned AMM liquidity pools for tokenized NMS…
OFAC adds BitBank and its developer to Iran digital-asset sanctions
OFAC added 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.
OFAC designates Xinbi Guarantee and lists associated TRX addresses
On September 9, OFAC designated Xinbi Guarantee, Anwen Technology, and SafeW Technology under E.O.
SEC extends broader crypto ETP generic listing standards to Nasdaq Texas
The SEC's September 3 order, published September 9, approves Nasdaq Texas's amended Rule 5711(d).
OFAC extends Iran sanctions to the digital-asset sector and lists associated wallets
Effective August 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 identified sectors.
SEC approves expanded weekly expirations for qualifying ISE ETF options, including IBIT
The SEC approved Nasdaq ISE's expansion of its Short Term Option Series Program.
FinCEN renews outbound-transfer reporting order for two Minnesota counties
FinCEN renewed a Geographic Targeting Order requiring covered banks and money transmitters with a branch, subsidiary, or office in Hennepin or Ramsey County, Minnesota to report specified outbound funds transfers of…
FDIC approves deposit insurance for a digital-asset-focused de novo national bank
On August 4, 2026 the FDIC approved the deposit insurance application of Augustus National Bank, N.A., a newly chartered national bank headquartered in Dallas that plans to serve digital-asset firms, AI and technology…
SEC grants review of the Nasdaq PHLX bitcoin index options approval
The Commission granted a petition for review of the order, issued on an accelerated basis by delegated authority and modified by Amendment No.
SEC approves FINRA underwriting and private-placement filing amendments
The SEC approved FINRA amendments to Rule 5110 that revise valuation and exclusions for specified underwriting compensation, including qualifying debt-for-equity exchanges, DPP and unlisted-REIT capital investments…
CFTC approves a bitcoin perpetual contract as a futures contract and issues a listing policy
The CFTC approved a bitcoin-referencing perpetual contract for listing by a designated contract market as a futures contract and issued a policy favoring case-by-case Commission review for other perpetual contract…
SEC staff approves Nasdaq rule to trade tokenized shares on the same order book as ordinary shares
On March 18, 2026 the SEC's Division of Trading and Markets, acting for the Commission under delegated authority, approved Nasdaq rule filing SR-NASDAQ-2025-072, as amended (Release No.
SEC lets dealers trade WisdomTree's blockchain-recorded money fund at $1.00 around the clock
On February 23, 2026 the SEC granted WisdomTree an exemptive order (Release No.
SEC approves in-kind creations and redemptions for bitcoin and ether ETPs
The Commission approved exchange rule changes allowing authorized participants to create and redeem covered spot bitcoin and ether ETP shares in kind, replacing the cash-only structure in the affected products.
CFPB withdraws proposed EFTA treatment for emerging payment mechanisms
CFPB withdrew its proposal to interpret Regulation E and the Electronic Fund Transfer Act for accounts using emerging payment mechanisms. The proposed expansion therefore did not become operative.
Treasury removes Tornado Cash property and addresses from OFAC sanctions lists
Treasury removed Tornado Cash-related persons and property from OFAC’s Specially Designated Nationals and Blocked Persons List following legal and policy review.
How to read the ledger
Each entry names its posture: a binding action, a proposal, guidance, enforcement, or a political signal. A speech is not a rule and a bill is not a law. Every entry starts from the primary document and lists what is still open, rather than turning a headline into permission.
Coverage and corrections
The ledger 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 ledger.
Educational analysis for financial professionals. Not legal, tax, compliance, or investment advice. Verify current primary sources and consult qualified counsel before implementation.