finra

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Stonewalled by FINRA, Up to 40 Crypto Securities Wait in Limbo for Launch
Wall Street watchdog FINRA has sat for as long as 12 months on roughly 40 broker-dealer applications by blockchain startups.
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FINRA Fines Ex-Merrill Lynch Investment Adviser Over Crypto Mining Sideline
U.S. self-regulatory organization FINRA has fined and suspended an investment adviser over undeclared cryptocurrency mining activities.
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Ethereum Investment Vehicle Approved for Small Investors
FINRA has approved Grayscale Investments' ethereum trust shares for sale to mom-and-pop investors.
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Circle's SeedInvest Takes Step Toward Tokenizing Stocks With Trading License
SeedInvest, the equity crowdfunding platform owned by crypto startup Circle, just got a license to facilitate trading of traditional securities.
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Is ConsenSys Startup Token Foundry Dead or Doing Something Different?
Since losing its founder in August, sources say ICO platform Token Foundry is alive in name only.
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In First, FINRA Files Fraud Complaint Against Crypto Broker
The Financial Industry Regulatory Authority (FINRA) has filed a securities fraud complaint against a cryptocurrency broker.
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FINRA Wants to Know All About Member Firms' Crypto Activities
The U.S. financial self-regulatory body is asking member firms to submit every detail of their existing or future activities in cryptocurrency.
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Crypto Startup Uphold Moves to Become Licensed U.S. Broker-Dealer
Digital money platform Uphold is looking to become a Finra-registered broker-dealer following a new acquisition, the company says.
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Tezos Co-Founder Sanctioned By US Financial Watchdog
Arthur Breitman, co-founder of cryptocurrency project Tezos, has been barred by FINRA from any association with broker-dealers for two years.
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FINRA: Beware Public Stocks That Tout Cryptocurrency Connection
FINRA, a self-regulatory authority for the financial industry in the U.S., has issued a new warning about cryptocurrency-related stock fraud.
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