SEC Directs Examiners to Focus on How US Broker-Dealers Are Pitching Crypto

2023-2-8 02:11

U.S. broker-dealers and investment advisers that deal in crypto will get extra scrutiny from Securities and Exchange Commission examiners this year, according to the agency’s annual examination priorities announced Tuesday.

Similar to Notcoin - TapSwap on Solana Airdrops In 2024

origin »

Emerald Crypto (EMD) на Currencies.ru

$ 0 (+0.00%)

Объем 24H $0

Изменеия 24h: 0.00 %, 7d: 4.67 %

Cегодня L: $0 - H: $0

Капитализация $0 Rank 99999

Цена в час новости $ 0.0095806 (-100%)

broker-dealers crypto examiners year according exchange securities

133 +

Источник: coindesk.com

broker-dealers crypto → Результатов: 20

SEC to intensify scrutiny on U.S. brokers dealing in crypto

U. S. broker-dealers and investment advisers dealing in cryptocurrency will face increased scrutiny, as per the U. S. SEC’s Division of Examinations. The SEC will concentrate its efforts on SECThe post SEC to intensify scrutiny on U.

2023-2-8 12:30	News
sec scrutiny dealing intensify division examinations secthe

218 +

Paxos introduces financial advisor crypto trading for broker-dealers

Paxos, a regulated blockchain infrastructure and crypto exchange platform, has today announced the launch of financial advisor crypto trading within Paxos Crypto Brokerage. The new functionality allows broker-dealers to provide a comprehensive wealth management solution to financial advisors so that they can trade crypto on behalf of their clients.

2022-6-8 20:17	Paxos
crypto paxos financial broker-dealers advisor trading provide

99 +

SEC Explains Itself by Issuing a Risk Alert for Crypto Assets

The SEC pointed out that Risk Alerts are not judgements or warnings or hints at acceptance regarding the subject matter. The alerts only represent the view of the Commission. SEC Viewpoint In this case, the SEC’s Division of Examinations observed certain points “during examinations of investment advisers, broker-dealers, and transfer agents” regarding crypto.

2021-2-27 18:01	U.S. Securities and Exchange Commission (SEC)
sec examinations alerts crypto regarding risk division

213 +

SEC Gives Broker-Dealers Room to Handle Crypto Securities

The SEC's broker-dealer guidance was generally welcomed as a step in the right direction by industry players.

2020-12-24 20:55
sec step welcomed players industry direction generally

96 +

The SEC shows some mercy to broker-dealers handling security tokens

In a Christmas present for the crypto industry, broker-dealers who abide by existing rules while holding security tokens in custody will not face enforcement action for the next five years.

2020-12-24 20:03	SEC
security broker-dealers tokens years custody holding rules

131 +

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.

2020-12-10 22:45
clarify crypto sec lawmakers broker-dealers registered services

178 +

Crypto liquidity service provider Zero Hash closes Series C funding round

Zero Hash, a FinCen-registered MSB providing bitcoin liquidity, today announced the close of its Series C funding round. It was led by tastytrade, a Chicago-based holding company that owns major broker-dealers including tastyworks and Dough, as well The Small Exchange.

2020-9-3 00:00
series funding round hash zero liquidity major

204 +

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.

2019-9-27 13:31
broker-dealer harbor broker-dealers aspiring crypto approve regulators

121 +

Crypto Mom Bemoans 'Regulatory Escape Room' Feel for Crypto

U. S. regulators FINRA and the SEC have put out a joint statement explaining why they have yet to approve applications from crypto exchanges such as Coinbase and Gemini requesting to receive licenses to operate as broker-dealers alongside their custody services.

2019-7-10 22:45	SEC
crypto statement 039 mom regulatory bemoans room

203 +

As Crypto Custodian Approval Endures Delays, SEC and FINRA Issue a Statement to Explain

The Securities and Exchange Commission (SEC) has continually denied crypto-related endeavors to get exchange traded funds and broker-dealers in the crypto industry approved. However, to help the public gain a better understanding, the SEC and the Financial Industry Regulatory Authority (FINRA) have made a joint statement, explaining why there are many concerns that need to […]

2019-7-9 03:55	Legal & Regulation
sec statement exchange finra crypto industry regulatory

190 +

“Publicly Traded Crypto Exchange” Bitcoin Generation Hit by SEC Sanctions

An official announcement published on April 29, 2019, has revealed that the United States Securities and Exchange Commission (SEC) has temporarily suspended the trading of shares in Bitcoin Generation (BTGN), a blockchain-based company out of Oklahoma.

2019-4-30 16:11	Regulation
btgn information exchange company bitcoin traded sec

215 +

DiamondBack Stablecoin (DBK) Gets Inclusion On AlphaPoint Crypto Exchange Network

AlphaPoint Add Support For DiamondBack Stable Coin For Its Exchange Partners Alphapoint is well-known software solution provider which deals in providing asset digitization software as well as digital asset trading technology for licensed broker-dealers.

2019-3-19 21:10	News
alphapoint diamondback coin stable software asset exchange

165 +

AlphaPoint adds DiamondBack stablecoin availability for crypto exchange clients

CryptoNinjas AlphaPoint, a global provider of asset digitization software and digital asset trading technology for licensed broker-dealers, ATS, and exchange operators, announced today that the DiamondBack stablecoin (DBK) is now available for its technology client network of over 80 exchanges in 35 countries.

2019-3-19 01:04
exchange stablecoin alphapoint diamondback technology dbk asset

158 +

Pro-Bitcoin Colorado Governor Signs Crypto-Friendly Digital Token Act

Colorado Governor and avowed bitcoin fan Jared Polis signed the Digital Token Act on March 8, exempting cryptocurrencies from state securities laws under certain conditions. The new legislation also exempts crypto broker-dealers and salespeople from state licensing requirements under limited circumstances.

2019-3-9 23:24
colorado token digital act governor polis signed

193 +

“Guidance by Enforcement”: How the SEC Is Slowly Shaping ICO Regulation

On November 27, 2018, a California judge turned back the SEC’s request for an injunction against token company BlockVest, a company the U. S. Securities and Exchange Commission (SEC) is pursuing for allegedly conducting an unregistered securities offering.

2018-12-1 22:36	Regulation
sec industry securities chervinsky token enforcement these

688 +

Op Ed: Why Is There So Much Talk About a Bitcoin ETF?

An exchange-traded bitcoin fund (ETF) would signal greater acceptance of bitcoin as a mainstreet investment, while also making it much easier for both institutional and retail investors to get involved.

2018-10-6 01:07	Op-ed
bitcoin etf sec investors proposal solidx trust

524 +

Cryptocurrency Exchanges Fall Short in Safeguarding Funds: Report

In April 2018, former New York Attorney General Eric Schneiderman sent off inquiries to more than a dozen cryptocurrencyexchanges to learn more about their internal operations.

2018-9-19 02:06	Regulation
report exchanges platforms york often trading cryptocurrency

337 +

Two-for-One: SEC Slaps Crypto Hedge Fund, Broker With Registration Failures

In what it deems a first for both enforcement actions, the United States Securities and Exchange Commission (SEC) is charging two entities with registration failures.

2018-9-12 23:36	Regulation
sec unregistered company tokenlot securities digital tokens

348 +

U.S. SEC Suspends Trading for Two Swedish-Based Crypto ETNs

Two securities, one that tracks bitcoin and another that tracks the cryptocurrency ether, have been temporarily halted by a U. S. regulatory watchdog due to investor confusion.

2018-9-11 22:01	Regulation
bitcoin trading one etns sec tracker securities

277 +

Партнеры Currencies.ru

Analogue Notcoin - TapSwap

Реклама на Currencies.ru

Самое свежее на Currencies.ru

Binance Could Come Back to India by Paying $2M Fine: Report

The exchange could return as a FIU-registered firm after paying the fine, the report added.

Canadian Province Asks QuadrigaCX Co-Founder to Explain His Wealth in New Order

This is the third test for the Province's new tool to combat money laundering.

U.S. CBDC Is Unlikely in the Near Term: Bank of America

The Federal Reserve continues to pilot a central bank digital currency, but will not issue one without executive branch and Congressional support, the report said.

India's Controversial Crypto Tax Should Be Cut After Failing to Achieve Aims, Think Tank Urges

India's most controversial crypto tax, the 1% TDS levy deducted at source, should be lowered to 0.01%, according to the findings of a new study.

U.S. Crypto Regulatory Fog Keeps Standard Chartered Rooted in UAE, Asia

Standard Chartered chose Dubai to launch crypto services from. However, reading between the lines, almost anywhere is preferable to the U.S. – that’s the message coming from banks and large institutions.

EU Formally Agrees on New Crypto Tax Data Sharing Rules

The finalized rules, set to be published in the EU's official journal, force crypto firms to report on customers' holdings to be shared between tax authorities.

Binance Japan Starts Onboarding Users

Two years earlier, the exchange was warned by Japanese regulators that it was operating in the country without permission.

2023-2-8 02:11

broker-dealers crypto → Результатов: 20

2023-2-8 12:30

2022-6-8 20:17

2021-2-27 18:01

2020-12-24 20:55

2020-12-24 20:03

2020-12-10 22:45

2020-9-3 00:00

2019-9-27 13:31

2019-7-10 22:45

2019-7-9 03:55

2019-4-30 16:11

2019-3-19 21:10

2019-3-19 01:04

2019-3-9 23:24

2018-12-1 22:36

2018-10-6 01:07

2018-9-19 02:06

2018-9-12 23:36

2018-9-11 22:01

Партнеры Currencies.ru

Реклама на Currencies.ru

Самое свежее на Currencies.ru

Add news: propose for publication, Submit ICO