FINRA

Regulation

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

The Winklevoss-owned cryptocurrency exchange Gemini is applying for a broker-dealer license from FINRA.

Policy & regulation  ·  2 July 2019
Regulation

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.

Policy & regulation  ·  17 June 2019
Regulation

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.

Policy & regulation  ·  13 June 2019
Security

Ethereum Investment Vehicle Approved for Small Investors

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

Policy & regulation  ·  23 May 2019
Circle

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.

Business  ·  26 April 2019
ConsenSys

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.

Markets  ·  6 February 2019
Fraud

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.

Markets  ·  11 September 2018
Cryptocurrency

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.

Policy & regulation  ·  9 July 2018
Exchanges

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.

Business  ·  27 June 2018
Regulation

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.

Policy & regulation  ·  20 April 2018
Cryptocurrency

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.

Policy & regulation  ·  21 December 2017
Regulation

FINRA to Host Blockchain Event in New York Next Month

FINRA, the self-regulatory organization for US brokers, has announced a new blockchain event and a fintech communications hub this week.

Policy & regulation  ·  14 June 2017
Regulation

FINRA Believes Blockchain Could Impact its Regulatory Rules

FINRA, the self-regulatory organization for US brokers, could see some of its rules impacted by blockchain.

Policy & regulation  ·  19 January 2017
Regulation

Smart Contract Issues Set Off ‘Alarm Bells’, Says US Regulator

Representatives of two US regulators have explained how their agencies are approaching the rapidly growing smart contracts industry.

Policy & regulation  ·  9 December 2016
Startups

Bitcoin Investment Trust Gets FINRA Green Light to Trade

The Bitcoin Investment Trust is set to become the first publicly traded bitcoin fund, having received approval from US securities regulator FINRA.

Business  ·  2 March 2015