RIA digital-asset regulatory change ledger
Which authority changed what, for whom, on what date, and what an advisor must do next.
Federal court enters supplemental CFTC sanctions against former FTX and Alameda executives
The U.S. District Court for the Southern District of New York entered supplemental consent orders resolving the CFTC's enforcement actions against former Alameda CEO Caroline Ellison and FTX and Alameda co-founder Gary…
CFTC alleges a $397 million Goliath crypto liquidity-pool fraud
The CFTC filed a federal civil complaint alleging that Goliath Ventures and Christopher Delgado fraudulently obtained at least $397 million from approximately 1,611 customers by claiming that customer funds and crypto…
SEC settles crypto wash-trading claims against market maker Gotbit
On August 3, 2026 the SEC announced a proposed final consent judgment against Gotbit Consulting LLC, a crypto market maker, settling 2024 claims that it wash traded a crypto asset offered and sold as an investment…
OFAC designates Nobitex and associated Iranian digital-asset exchanges
OFAC designated Nobitex, other Iranian digital-asset exchanges, and associated leaders for terror finance, sanctions evasion, ransomware-linked activity, and support for Iran’s financial sector.
Texas halts an alleged fraudulent tokenized-real-estate offering
Texas issued an emergency cease-and-desist order alleging unregistered and fraudulent offers of tokenized real-estate investments through websites, social media, webinars, and a multilevel marketing network.
California crypto-kiosk enforcement wave culminates in Hermes Bitcoin shutdown
A sequence of DFPI orders applied California’s Digital Financial Assets Law and consumer-protection law to crypto-kiosk operators for excessive charges, transactions above the $1,000 daily limit, deficient receipts and…
Texas resolves securities allegations against Voyager Digital entities
Texas entered a consent order resolving allegations that Voyager entities offered unregistered crypto-related securities, acted without required dealer or agent registration, and made misleading statements concerning…
California fines Nexo $500,000 over unlicensed crypto-backed lending
The DFPI consent order requires Nexo Capital to pay a $500,000 administrative penalty after findings that it made thousands of California consumer and commercial loans without a California Financing Law license and…
OFAC settles sanctions violations with Exodus Movement
OFAC announced a settlement with Exodus Movement concerning apparent sanctions violations associated with its digital-asset products and services.
FinCEN penalizes Paxful for willful BSA failures
FinCEN assessed a $3.5 million penalty after Paxful admitted willful failures to register as an MSB, maintain an effective AML program, and file SARs while facilitating more than $500 million in suspicious activity…
OFAC settles sanctions violations with ShapeShift
OFAC announced a $750,000 settlement with ShapeShift for apparent sanctions violations involving its digital-asset exchange services.
OFAC designates Garantex successor Grinex and associated crypto network
OFAC redesignated Garantex under cyber authorities and designated successor exchange Grinex, executives, and supporting companies for sanctions evasion, ransomware, and other malicious cyber activity.
NYDFS settles Paxos AML and Binance-diligence failures
NYDFS required Paxos to pay a $26.5 million penalty and invest $22 million in remediation after finding deficient AML controls and insufficient due diligence and escalation concerning Binance and BUSD.
FINRA fines TradeStation over crypto-affiliate communications
FINRA censured TradeStation Securities and imposed an $85,000 fine after finding that website and video communications could confuse investors about whether the broker-dealer or an unregistered affiliate offered crypto…
California penalizes Coinme for crypto-kiosk DFAL violations
DFPI fined Coinme $300,000 and obtained $51,700 in restitution over crypto-kiosk violations involving transaction limits, pricing-spread disclosures, receipts, and related DFAL requirements.
NFA sanctions OANDA over crypto-broker promotions and other supervisory failures
NFA accepted OANDA’s settlement and found violations including deficient promotional materials for a third-party cryptocurrency broker and inadequate supervision.
SEC dismisses seven crypto enforcement cases as policy shifts to rulemaking
Between February and May 2025, the SEC dismissed with prejudice seven prior-administration crypto enforcement actions—Coinbase, Cumberland DRW, Consensys, Kraken/Payward, Dragonchain, Balina, and Binance—while stating…
FINRA fines Firstrade over crypto-affiliate communications
FINRA censured Firstrade and imposed an $85,000 fine after finding that crypto communications did not prominently identify the affiliate that offered the assets, distinguish it from the registered broker-dealer or SIPC…
NYDFS settles Cash App AML and virtual-currency compliance failures with Block
NYDFS imposed a $40 million penalty and independent monitor after finding customer-identification, due-diligence, and transaction-monitoring failures, including controls for high-risk Bitcoin activity.
FINRA sanctions Avenue Securities over influencer communications including crypto promotions
FINRA censured Avenue Securities, fined it $300,000, and required remediation certification after finding that paid influencer posts were misleading or not fair and balanced, were not consistently identified as…
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.