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Thursday, April 25, 2019

Form 10 Audit Timeline


As recent enforced actions have alluded to, the SEC has moved forward with its review of token issuances under its jurisdiction occurring in the past few years. Along with fines and rescission offers, settlement with token issuers has included the term of Filing a Form 10 (a registration of securities) and maintenance of compliance for at least 1 year. Out of all settlement terms, the Form 10 filing may be the most arduous task, largely due for the need of a full financial statement audit within the settlement timeline (SEC precedent has been 90 days).

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