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, 14 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
A selection of recent published briefs; this is not a complete archive.
SEC moves for final consent judgment against former Western Asset co-CIO Ken Leech in cherry-picking fraud case
The SEC on October 6, 2026 moved for entry of a final consent judgment against Stephen Kenneth Leech II, former co-chief investment officer of Western Asset Management Company LLC. The motion resolves civil charges that …
Read the full SEC & CFTC Digital Assets brief →SEC proposes tailored custody framework for crypto assets held by registered investment advisers and funds
The SEC released a proposed rulemaking on October 1, 2026 establishing a dedicated custody framework for crypto assets held by registered investment advisers and regulated funds. The proposal addresses how existing quali…
Read the full SEC & CFTC Digital Assets brief →SEC charges private fund adviser Meyer Global Management and CEO with defrauding retail investors in pre-IPO funds
The SEC on September 30, 2026 charged Meyer Global Management LLC and CEO Owen E.H. Meyer with defrauding investors in private funds holding SpaceX and other pre-IPO securities. The action targets a registered private fu…
Read the full SEC & CFTC Digital Assets brief →SEC charges two individuals with $8.7 million fraud scheme targeting veteran investors through unregistered fund
The SEC charged Christopher Kenji Dinelli and Jacob David Frankel on September 30, 2026, with raising more than $8.7 million from 35 investors through a fraudulent fund. The scheme was an unregistered offering that alleg…
Read the full SEC & CFTC Digital Assets brief →SEC proposes rule amendments to expand retail investor access to private market fund structures
The SEC voted on September 30, 2026 to propose rule amendments that would broaden retail investor access to private markets by expanding available fund structures. The proposal modifies existing regulated fund frameworks…
Read the full SEC & CFTC Digital Assets brief →SEC settles conflict-of-interest disclosure charges against registered investment adviser Zoe Financial Inc
The SEC on September 28, 2026 charged New York-based registered investment adviser Zoe Financial Inc. with failing to fully and fairly disclose material conflicts of interest to clients and prospective clients. The actio…
Read the full SEC & CFTC Digital Assets brief →SEC censures OTC Link LLC and imposes $575,000 penalty for Regulation SCI violations
The SEC issued a settled enforcement order on September 22, 2026 censuring OTC Link LLC, a New York-based broker-dealer, for longstanding violations of Regulation Systems Compliance and Integrity. The order imposes a $57…
Read the full SEC & CFTC Digital Assets brief →SEC proposes rescinding shareholder proposal resubmission thresholds and overhauling proxy solicitation rules for public companies
The SEC has proposed rescinding the current shareholder proposal rule governing resubmission thresholds and reforming the proxy solicitation process for registered public companies. This marks a structural shift in feder…
Read the full SEC & CFTC Digital Assets brief →U.S. and UK regulators conduct joint tabletop exercise on central counterparty resolution procedures
Senior principals from five U.S. and UK financial regulatory authorities convened on September 3, 2026 for a tabletop exercise on central counterparty (CCP) resolution. This marks active bilateral coordination on cross-b…
Read the full SEC & CFTC Digital Assets brief →SEC charges New Jersey founder and two controlled entities in alleged $16 million Ponzi scheme
The SEC filed charges on September 10, 2026 against Ernest Ossei Boateng and his two controlled entities — Intercontinental Wealth Network LLC and I Wealth Network LP — for allegedly raising approximately $16 million fro…
Read the full SEC & CFTC Digital Assets brief →SEC charges 38 entities with material misrepresentations in Form ADV filings to solicit retail investors
On August 27, 2026, the SEC filed complaints against 38 entities alleging material misrepresentations in Forms ADV filed between 2025 and 2026. The defendants allegedly portrayed themselves as legitimate advisory firms t…
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…
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