Browsing the "FINRA" Tag

SEC, FINRA Issue Explanation of Crypto Custodian Approval Delay

| Nikhilesh De

In a joint statement Monday, the SEC and FINRA laid out the issues they must examine before approving broker-dealer applications from crypto startups.

Cameron and Tyler Winklevoss Gemini

Gemini to Apply for Broker-Dealer License in Bid to Trade Crypto Securities

| Leigh Cuen

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

| Nikhilesh De

Wall Street watchdog FINRA has sat for as long as 12 months on roughly 40 broker-dealer applications by blockchain startups.

FINRA Fines Ex-Merrill Lynch Investment Adviser Over Crypto Mining Sideline

| Daniel Palmer

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

| John Biggs

FINRA has approved Grayscale Investments' ethereum trust shares for sale to mom-and-pop investors.

Circle’s SeedInvest Takes Step Toward Tokenizing Stocks With Trading License

| Nikhilesh De

SeedInvest, the equity crowdfunding platform owned by crypto startup Circle, just got a license to facilitate trading of traditional securities.

Is ConsenSys Startup Token Foundry Dead or Doing Something Different?

| Brady Dale

Since losing its founder in August, sources say ICO platform Token Foundry is alive in name only.

In First, FINRA Files Fraud Complaint Against Crypto Broker

| Nikhilesh De

The Financial Industry Regulatory Authority (FINRA) has filed a securities fraud complaint against a cryptocurrency broker.

FINRA Wants to Know All About Member Firms’ Crypto Activities

| Wolfie Zhao

The U.S. financial self-regulatory body is asking member firms to submit every detail of their existing or future activities in cryptocurrency.

Crypto Startup Uphold Moves to Become Licensed U.S. Broker-Dealer

| Nikhilesh De

Digital money platform Uphold is looking to become a Finra-registered broker-dealer following a new acquisition, the company says.