Robinhood Under Investigation for Finra Registration Violation

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

Business  ·  27 July 2021

Crypto Trading Business Apifiny Snags FINRA Broker-Dealer License

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

Business  ·  29 April 2021

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.

News  ·  31 March 2021

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 with the trading app provider.

Policy & regulation  ·  27 February 2021
Bitcoin Funds

Bitwise Files for Approval 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.

Markets  ·  2 February 2021

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.

Policy & regulation  ·  9 December 2020

Texture Capital Awarded FINRA License to Trade Security Tokens

Texture is the latest tokenization firm to eye the $1.5 trillion private securities market.

Policy & regulation  ·  10 November 2020

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.

Policy & regulation  ·  29 September 2020

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.

News  ·  10 September 2020

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.

Policy & regulation  ·  11 October 2019

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.

Policy & regulation  ·  27 September 2019

The Crypto Custody Conundrum: What Are We Even Talking About?

New tech usually struggles with vocabulary, says Noelle Acheson. With bitcoin, the confusion rubs off integral concepts in securities legislation.

Markets  ·  31 August 2019

It Took 18 Months, But This Blockchain Securities Firm Got the Nod From FINRA

FINRA has approved iownit as a broker-dealer, clearing the firm to offer digital securities on a private Hyperledger blockchain.

Policy & regulation  ·  20 August 2019

FINRA Extends Deadline for Firms to Report Crypto Activity

The self-regulatory body for brokers and exchanges has quietly extended its deadline for member firms to report their crypto activity.

Policy & regulation  ·  22 July 2019

SEC, FINRA Issue Explanation of Crypto Custodian Approval Delay

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

Markets  ·  8 July 2019