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Understanding and Analyzing the SEC Investigative Report on Initial Coin Offerings

Initial Coin Offerings have proliferated rapidly for companies seeking to raise capital beyond traditional fundraising methods. In July 2017, the U.S. Securities and Exchange Commission issued an investigative report addressing the application of federal securities laws to ICOs, and served notice to ICO issuers that they may be subject to SEC regulation. Many investors considering ICOs as part of their investment portfolio, as well as companies contemplating the issuance of an ICO, may not fully grasp the mechanics or implications of the investigative report. Without such an understanding, investors may be vulnerable to fraudulent schemes, and companies seeking to raise business funds may be subject to penalties for failure to comply with applicable regulations. Through this topic you will develop an understanding of how and why the SEC is regulating ICOs and the subsequent enforcement actions that it has pursued to prevent ICOs from being used in furtherance of fraudulent schemes. It will also examine ICOs that are not subject to SEC regulation and the role that other agencies are playing in regulating ICOs. This information is valuable for attorneys who are seeking to advise clients in connection with potential enforcement actions related to ICOs. It will also be beneficial for attorneys seeking to advise companies and individuals that are considering how and whether to enter the ICO market, whether as potential investors or in an effort to raise business capital.


Runtime: 88 minutes
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

What Are Initial Coin Offerings?

  • How Are ICOs Structured?
  • What Is the Relationship Between ICOs and Cyrptocurrencies?
  • What Makes ICOs Attractive - Reasons Why Companies and Investors Pursue ICOs
  • Potential Pitfalls of ICOs

The SEC's DAO Investigative Report

  • The Purpose of the Investigative Report
  • The Conclusions of the SEC Investigative Report
  • The Investigative Report's Analysis

Impact of the Investigative Report

  • Subsequent SEC Enforcement Actions
  • Implications of Subjecting ICOs to SEC Scrutiny
  • Are There Viable Alternatives for ICOs Seeking to Avoid SEC Scrutiny?

Other Regulators Have ICOs in Their Sights

  • CFTC - October 2017 Primer on Virtual Currencies and Subsequent Enforcement Actions
  • DOJ - Are There Criminal Cases on the Horizon?
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This course was last revised on March 29, 2018.

Call 1-866-352-9540 for further credit information.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

Audio & Reference Manual

  • Arizona CLE 1.5
     
  • CA MCLE 1.5
     
  • CT CLE 1.5
     
  • GA CLE 1.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5
     
  • MT CLE 1.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5
     
  • VT CLE 1.5
     
  • WA CLE 1.5
     
  • WV MCLE 1.8
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

MP3 Download

  • Arizona CLE 1.5
     
  • CA MCLE 1.5
     
  • CT CLE 1.5
     
  • HI CLE 1.5
     
  • IL CLE 1.5
     
  • ME CLE 1.5
     
  • MT CLE 1.5
     
  • NJ CLE 1.8
     
  • NV CLE 1.5
     
  • VT CLE 1.5
     
  • WA CLE 1.5
     
  • WV MCLE 1.8
     
The CLE Code is ONLY a requirement when applying for CLE Credit in California (for participatory credit), Kansas, New Jersey or New York. Other states do not need to supply the CLE Code to apply for CLE credit.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Ariel S. Glasner

Ariel S. Glasner

Blank Rome LLP

  • Attorney in the Washington, D.C. office of Blank Rome LLP
  • Practice emphasizes all aspects of White Collar Defense and Government Investigations, including financial fraud, public corruption, healthcare fraud and environmental crimes
  • Author of several publications related to regulatory enforcement in connection with blockchain technology and the FinTech industry
  • J.D. degree, NYU School of Law; B.S. degree in economics, Wharton School of Business at the University of Pennsylvania; B.A. degree in international relations, University of Pennsylvania
  • Can be contacted at 202-772-5963 or [email protected]
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Product ID: 401774
Published 2018
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