finra

CoinDesk - Unknown
Binance Taps Former Regulators to Strengthen Global Surveillance Team

The exchange is hiring Seth Levy, who spent 16 years at U.S. regulator FINRA, and Steven McWhirter from the U.K.'s Financial Conduct Authority.

The exchange is hiring Seth Levy, who spent 16 years at U.S. regulator FINRA, and Steven McWhirter from the U.K.'s Financial Conduct Authority.

CoinDesk - Unknown

CoinDesk - Unknown
Winklevoss-Owned Gemini Galactic Snags FINRA Broker-Dealer Approval

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

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

CoinDesk - Unknown

CoinDesk - Unknown
FINRA Considering Changes to Crypto Regulations to Better Protect Investors: Report

The self-regulatory body is primarily concerned with rules around advertising and disclosure to customers.

The self-regulatory body is primarily concerned with rules around advertising and disclosure to customers.

CoinDesk - Unknown

CoinDesk - Unknown
Robinhood Under Investigation for FINRA Registration Violation

CEO Vlad Tenev isn’t registered with FINRA, new documents show.

CEO Vlad Tenev isn’t registered with FINRA, new documents show.

CoinDesk - Unknown

CoinDesk - Unknown
A Big Week in Crypto and Adviser Guidance in the Regulatory Environment

Ross breaks down the current state of the crypto markets, the expectations from governmental statutes and the guidance for advisers in the present regulatory environment.

Ross breaks down the current state of the crypto markets, the expectations from governmental statutes and the guidance for advisers in the present regulatory environment.

CoinDesk - Unknown

CoinDesk - Unknown
Crypto Trading Business Apifiny Snags FINRA Broker-Dealer License

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

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

CoinDesk - Unknown

CoinDesk - Unknown
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.

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.

CoinDesk - Unknown

CoinDesk - Unknown
3 US Regulators Probing Robinhood's Actions Amid GameStop Trading Craze

FINRA, the SEC and the New York Attorney General’s Office are all making enquiries into the trading app provider.

FINRA, the SEC and the New York Attorney General’s Office are all making enquiries into the trading app provider.

CoinDesk - Unknown

CoinDesk - Unknown
Bitwise Files for Verification to Publicly Trade Its Bitcoin Fund

The fund aims to compete with Grayscale's Bitcoin Trust and others by offering a 50 basis point lower expense ratio.

The fund aims to compete with Grayscale's Bitcoin Trust and others by offering a 50 basis point lower expense ratio.

CoinDesk - Unknown

CoinDesk - Unknown
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.

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.

CoinDesk - Unknown