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Harbor’s Regulatory Wait Ends as FINRA Awards Crypto Broker-Dealer License
27.9.2019
Harbor's broker-dealer licensing breaks a lengthy standoff between aspiring crypto broker-dealers and the U.S. regulators who approve them
The Crypto Custody Conundrum: What Are We Even Talking About?
31.8.2019
New tech usually struggles with vocabulary, says Noelle Acheson. With bitcoin, the confusion rubs off integral concepts in securities legislation
It Took 18 Months, But This Blockchain Securities Firm Got the Nod From FINRA
20.8.2019
FINRA has approved iownit as a broker-dealer, clearing the firm to offer digital securities on a private Hyperledger blockchain
FINRA’s Cryptocurrency Oversight Program has New Regulatory Notice 19-24
25.7.2019
Yesterday, the Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice 19-24 to its member firms. The objective of this notice is to encourage the member firms to inform the Regulatory Authority about any engagement or intention of engagement with the activities related to...
FINRA Extends Deadline for Firms to Report Crypto Activity
22.7.2019
The self-regulatory body for brokers and exchanges has quietly extended its deadline for member firms to report their crypto activity
SEC And FINRA Releases Statement On Crypto Custodian Delay
9.7.2019
U.S. Securities and Exchange Commission (SEC) has to bear a lot of stress from digital currency firms for delaying the approval of the proposals on Crypto Custodian. In the last few months, SEC has received many applications from the crypto firms for broker-dealer and exchange-traded funds. Both...
SEC & FINRA Announce New Rules for Crypto Brokers
9.7.2019
Two of America’s top financial regulators, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have announced that brokers looking to offer cryptocurrency securities will have to comply with existing securities laws, including customer protection...
US SEC and FINRA Issue Statement on Crypto Custody Issues
8.7.2019
The U.S. SEC and FINRA issued a joint statement on compliance issues for cryptocurrency custodians
SEC, FINRA Issue Explanation of Crypto Custodian Approval Delay
8.7.2019
The SEC and FINRA are examining issues such as custody and investor protections before they can approve broker-dealer applications by crypto startups, the agencies said
Gemini to Apply for Broker-Dealer License in Bid to Trade Crypto Securities
2.7.2019
The Winklevoss-owned cryptocurrency exchange Gemini is applying for a broker-dealer license from FINRA
Stonewalled by FINRA, Up to 40 Crypto Securities Wait in Limbo for Launch
17.6.2019
Wall Street watchdog FINRA has sat for as long as 12 months on roughly 40 broker-dealer applications by blockchain startups
FINRA Fines Former Merrill Lynch Employee $5,000 for Not Reporting Crypto Mining Activity
13.6.2019
An ex-Merrill Lynch worker who operated an undisclosed cryptocurrency mining scheme must pay $5,000 to FINRA
FINRA Fines Ex-Merrill Lynch Investment Adviser Over Crypto Mining Sideline
13.6.2019
U.S. self-regulatory organization FINRA has fined and suspended an investment adviser over undeclared cryptocurrency mining activities
Ethereum Investment Vehicle Approved for Small Investors
23.5.2019
FINRA has approved Grayscale Investments' ethereum trust shares for sale to mom-and-pop investors
Grayscale Gets Regulatory Nod From FINRA for Ethereum Trust to Trade on OTC Markets
23.5.2019
Following regulatory approval, Grayscale’s third cryptocurrency trust is about to hit the retail market