Blockchain and the Law

Sarah Hughes

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SEC Brings Charges against Blockchain-Based Trading Platform over Alleged Violations of Disclosure Rules

By Sarah Hughes on Posted in Blockchain Governance, DeFi & Financial Services, Enforcement Action, Exchanges, SEC
On January 10, 2022, the Securities and Exchange Commission (“SEC” or the “Commission”) announced it settled charges in In re tZERO ATS, LLC, No. 93938 (SEC Order Jan. 10, 2022) (“Order”).  The Order details how the SEC fined blockchain-based trading platform tZERO ATS, LLC (“tZERO”), an alternative trading systems (“ATS”), for alleged violations of Regulation … Continue Reading
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