SEC & CFTC Digital Assets
Material regulatory developments from U.S. Securities and Exchange Commission and Commodity Futures Trading Commission are tracked daily by Cresthaven Analytics. Over the last 90 days, 12 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
SEC charges 38 entities with fabricating Form ADV registrations to fraudulently solicit retail investors
On August 27, 2026, the SEC charged 38 entities for filing materially false Forms ADV between 2025 and 2026 to impersonate legitimate registered investment advisers. The action targets coordinated false registration as a…
Read the full SEC & CFTC Digital Assets brief →SEC proposes Regulation Crypto Assets to establish a dedicated registration and disclosure framework for crypto investment contracts
The SEC released a proposed rulemaking on August 18, 2026 titled Regulation Crypto Assets, creating a purpose-built framework for certain investment contracts involving crypto assets. The proposal opens a formal comment …
Read the full SEC & CFTC Digital Assets brief →SEC charges New York boiler room operator and three controlled entities with $74 million pre-IPO retail fraud
The SEC on August 14, 2026, charged Andrew Spaventa and three entities he owned and controlled with fraud and unregistered securities offering violations. The action concerns private funds that purportedly offered pre-IP…
Read the full SEC & CFTC Digital Assets brief →SEC charges New York private fund adviser Adit Ventures Management and CEO Eric Munson with investor fraud
The SEC filed charges on August 10, 2026 against Adit Ventures Management LLC, CEO Eric Munson, and three affiliated general partners for alleged fraud against private fund investors. The action targets a registered inve…
Read the full SEC & CFTC Digital Assets brief →SEC Establishes Dedicated Retail Fraud Working Group Within Division of Enforcement to Target Individual Investor Fraud
The Securities and Exchange Commission announced on July 7, 2026, the formation of the Retail Fraud Working Group, a dedicated unit within the Division of Enforcement structured to identify and prosecute fraud schemes ta…
Read the full SEC & CFTC Digital Assets brief →SEC Crypto & Digital Assets release pending Cresthaven Analytics full analysis: SEC Seeks Public Comment on Novel Exchange-Traded Funds
SEC Crypto & Digital Assets published a regulatory release titled 'SEC Seeks Public Comment on Novel Exchange-Traded Funds'. Cresthaven Analytics' full intelligence brief is pending re-analysis; see the source link below…
Read the full SEC & CFTC Digital Assets brief →SEC opens public comment on novel ETF structures and innovative asset class investment strategies
On June 30, 2026, the SEC issued a request for public comment on ETFs that invest in innovative asset classes or employ novel investment strategies. The request signals a formal agency review of how existing frameworks a…
Read the full SEC & CFTC Digital Assets brief →SEC issues formal public comment request targeting novel ETF structures and innovative asset class investment strategies
The Securities and Exchange Commission issued a formal request for public comment on June 30, 2026, soliciting industry and public input on ETFs seeking exposure to innovative asset classes or employing novel investment …
Read the full SEC & CFTC Digital Assets brief →SEC and CFTC jointly solicit public comment on harmonizing derivatives product definitions across agency jurisdictions
The SEC and CFTC issued a joint request for public comment on June 18, 2026, seeking input on updating and harmonizing derivatives product definitions. The release signals coordinated interagency review of the definition…
Read the full SEC & CFTC Digital Assets brief →SEC and CFTC jointly solicit public comment on harmonizing derivatives product definitions across both agencies
The SEC and CFTC issued a joint request for public comment on June 18, 2026, seeking input on updating and harmonizing certain derivatives product definitions. The release signals coordinated inter-agency action to addre…
Read the full SEC & CFTC Digital Assets brief →SEC and CFTC jointly solicit public comment on harmonizing derivatives product definitions across agency jurisdictions
The SEC and CFTC issued a joint request for public comment on June 18, 2026, seeking input on updating and harmonizing certain derivatives product definitions. The release signals a coordinated effort to resolve definiti…
Read the full SEC & CFTC Digital Assets brief →SEC and CFTC issue joint request for comment on harmonizing derivatives product definitions across agency jurisdictions
The Securities and Exchange Commission and the Commodity Futures Trading Commission jointly issued a request for public comment on June 18, 2026, soliciting input on potential updates, clarifications, and harmonization o…
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