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SEC Charges Waterloo-based Kik Interactive Inc. over Unregistered ICO

by Barbara Hendrickson | Jun 6, 2019

The United States Securities and Exchange Commission (SEC) today commenced an enforcement action against Waterloo, Ontario-based Kik Interactive Inc. (Kik) for what it alleges is an illegal USD $100 million ICO Initial Coin Offering (ICO). The SEC alleges that Kik...

SEC’s Latest Guidance on Digital Assets Reinforces Importance of Howey

by Barbara Hendrickson | Apr 15, 2019

The most recent guidance published by the Securities and Exchange Commission (SEC) goes even further to reinforce the importance of the concept of the “investment contract”  and the Howey Test when determining if a digital asset is a security. The SEC relies heavily...

Two ICO issuers settle with SEC, Agree to Register Tokens as Securities

by Barbara Hendrickson | Dec 10, 2018

In late November, 2018, the U.S. Securities and Exchange Commission (SEC) settled registration charges with two issuers of Initial Coin Offerings (ICOs), CarrierEQ Inc. (Airfox) and Paragon Coin Inc. (Paragon). These were the SEC’s first cases imposing civil penalties...

Securities and Exchange Commission Charges EtherDelta Founder with Operating Unregistered Exchange

by Barbara Hendrickson | Nov 21, 2018

Earlier this month, the United States Securities and Exchange Commission (SEC) announced settled charges against the founder of a digital token trading platform, EtherDelta, Zachary Coburn with operating an unregistered national securities exchange. This is the SEC’s...

About BAX Corporate Securities & Financial Services Lawyers

BAX practises in the securities and financial services regulatory areas and has acted as counsel to major Canadian and American corporations, market participants.

Legal Services

If you wish to discuss retaining BAX Securities Law to provide you with legal services, please contact:

Barbara Hendrickson
Managing Partner
416.601.1004
bhendrickson@baxsecuritieslaw.com

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