March 11, 2019
A securities dealer who traded in bitcoin without registering with the proper authorities agreed to pay over $1 million in civil monetary penalties, disgorgement, and refunds to investors, resolving enforcement actions brought by two federal agencies, the Commodity Futures Trading Commission announced Monday.
September 27, 2018
A securities dealer that accepted bitcoin failed to register with the U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission, the agencies said in separate complaints filed in D.C. federal court Thursday.