Broker-Dealers

Policy

Regulations

Come in and Register? These Firms Say They Found an SEC-Friendly Crypto Path

As the industry fights with the U.S. regulator over “impossible” demands, Prometheum Capital and others win approvals to deal in crypto securities.

By Jesse Hamilton

Sponsored

May 23, 2023 at 12:00 p.m. UTC

May 23, 2023

regulationsSECFinancial Industry Regulatory AuthoritySecurities and Exchange CommissionBroker-DealersSecurities

---

Policy

Regulations

SEC Directs Examiners to Focus on How US Broker-Dealers Are Pitching Crypto

The U.S. securities regulator issued its annual examination priorities on how it’ll keep track of emerging risks. The handling of crypto was one of the highlights.

By Jesse Hamilton

Sponsored

Feb 7, 2023 at 11:11 p.m. UTC

Feb 7, 2023

regulationsSECSecurities and Exchange CommissionBroker-DealersWashington, DCUSRIA Advisors

---

Finance

Paxos

Paxos Adds Financial Adviser Crypto Trading to Brokerage Platform

While just 15% of financial advisers are allocating crypto in customer accounts, 94% have received crypto-related questions from clients, said Paxos, citing recent survey data.

By Michael Bellusci

Sponsored

Jun 7, 2022 at 1:00 p.m. UTC

Jun 7, 2022

PaxosFinancial AdvisorsBroker-DealersCrypto Trading

---

Policy

Gary gensler

The SEC's New Proposal to Redefine 'Dealer' Could Spell Bad News for DeFi

The 200-page proposal is ostensibly about the electronic trading of U.S. Treasurys – but many industry insiders smell a sneak attack against crypto.

By Cheyenne Ligon

Sponsored

Mar 28, 2022 at 9:10 p.m. UTC

Mar 28, 2022

Gary GenslerSECRegulationBroker-DealersDeFi

---

Finance

Gemini

Winklevoss-Owned Gemini Galactic Snags FINRA Broker-Dealer Approval

The license could open up future opportunities around digital securities trading.

By Ian Allison

Sponsored

Jan 26, 2022 at 2:00 p.m. UTC

Jan 26, 2022

GeminiBroker-DealersWinklevossRegulationSecuritiesFINRA

---

Finance

Finra

Crypto Trading Business Apifiny Snags FINRA Broker-Dealer License

Apifiny connects professional traders with 40-odd global exchanges to search the best execution prices.

By Ian Allison

Sponsored

Apr 29, 2021 at 12:30 p.m. UTC

Apr 29, 2021

FINRABroker-DealersApifinyPrime Brokerage

---

Finance

Security tokens

Anchorage to Custody Digital Securities for Prometheum’s Retail Trading Platform

The custodian’s bank charter allows it to hold digital assets for broker-dealers and their clients, said Anchorage CEO Nathan McCauley.

By Nate DiCamillo

Sponsored

Mar 31, 2021 at 1:00 p.m. UTC

Mar 31, 2021

Security TokensCustody ServicesBroker-DealersAnchorageDigital Securities

---

Markets

Finra

Crypto Firm Uphold Gets US OK to Buy Broker-Dealer JNK Securities

Uphold is set to become one of the first cryptocurrency businesses in the U.S. to offer securities on an omnibus basis to retail investors, the company said.

By Sebastian Sinclair

Sponsored

Mar 31, 2021 at 1:00 p.m. UTC

Mar 31, 2021

FINRAUpholdBroker-Dealers

---

Policy

Sec

SEC Gives Broker-Dealers Room to Handle Crypto Securities

The SEC's broker-dealer guidance was generally welcomed as a step in the right direction by industry players.

By Nikhilesh De

Sponsored

Dec 23, 2020 at 5:55 p.m. UTC

Dec 23, 2020

SECBroker-DealersCrypto Custody

---

Policy

Sec

US Lawmakers Ask SEC to Clarify Broker-Dealer Rules

U.S. lawmakers asked the SEC and FINRA to clarify how crypto firms can become registered broker-dealers and provide custody services for crypto assets.

By Nikhilesh De

Sponsored

Dec 9, 2020 at 7:45 p.m. UTC

Dec 9, 2020

SECFINRACongressBroker-Dealers

---