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FINRA

Apifiny's employees in a photo from 2020.
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.
Apifiny's employees in a photo from 2020.
By Ian Allison
Apr 29, 2021 at 12:30 p.m. UTC
Apr 29, 2021
FINRABroker-DealersApifinyPrime BrokeragePrime Brokers
Green light
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.
Green light
By Sebastian Sinclair
Mar 31, 2021 at 1:00 p.m. UTC
Mar 31, 2021
FINRAUpholdBroker-Dealers
Robinhood
Policy
Sec
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.
Robinhood
By Daniel Palmer
Feb 27, 2021 at 9:37 a.m. UTC
Feb 27, 2021
SECFINRARegulationRobinhoodNew York Attorney General
Bitwise Chief Investment Officer Matt Hougan
Markets
Finra
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.
Bitwise Chief Investment Officer Matt Hougan
By Sebastian Sinclair
Feb 2, 2021 at 4:00 p.m. UTC
Feb 2, 2021
FINRABitwiseBitcoin Funds
Rep. Tom Emmer
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.
Rep. Tom Emmer
By Nikhilesh De
Dec 9, 2020 at 7:45 p.m. UTC
Dec 9, 2020
SECFINRACongressBroker-Dealers
FINRA
Policy
Finra
Texture Capital Awarded FINRA License to Trade Security Tokens
Texture is the latest tokenization firm to eye the $1.5 trillion private securities market.
FINRA
By Danny Nelson
Nov 10, 2020 at 2:36 p.m. UTC
Nov 10, 2020
FINRATokenizationBroker-Dealers
SEC building
Policy
Sec
SEC Won't Take Action Against Compliance-Focused Digital Security Exchanges
Digital security exchanges that ensure listed assets are legitimate will not face sanctions, the SEC said in an open letter.
SEC building
By Paddy Baker
Sep 29, 2020 at 12:52 p.m. UTC
Sep 29, 2020
SECFINRARegulationCoinFlash
tzero
Markets
Finra
Overstock's tZERO Wins FINRA Approval to Launch Retail Broker-Dealer Subsidiary
The firm announced Thursday that FINRA approved its application to launch tZERO Markets, a retail broker-dealer subsidiary.
tzero
By Jaspreet Kalra
Sep 10, 2020 at 12:30 p.m. UTC
Sep 10, 2020
FINRATzerobroker-dealer
exchange
Markets
Security
tZERO-Backed Startup Seeks SEC Approval to Launch Security Token Market
BSTX is seeking regulatory approval to launch one of the first markets for publicly traded, registered security tokens.
exchange
By Danny Nelson
Oct 11, 2019 at 11:00 p.m. UTC
Oct 11, 2019
SecurityExchangesSECFINRARegulationNewsTzeroBOX
Josh Stein
Markets
Sec
Harbor's Regulatory Wait Ends as FINRA Awards Broker-Dealer License
Harbor's broker-dealer licensing breaks a lengthy standoff between aspiring crypto broker-dealers and the U.S. regulators who approve them.
Josh Stein
By Danny Nelson
Sep 27, 2019 at 10:31 a.m. UTC
Sep 27, 2019
SECFINRARegulationNewsHarborJosh Steincrypto broker-dealer