FINRA

SEC and FINRA Issue Joint Statement on Broker-Dealer Custody of Digital Asset Securities

On July 8, 2019, the staffs of the U.S. Securities and Exchange Commission’s Division of Trading and Markets and the Financial Industry Regulatory Authority (“FINRA”)  issued a joint statement articulating

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Cryptoassets, FINRA, SEC, SIPA, US

FINRA Charges Broker for Securities Fraud and Unlawful Distribution of an Unregistered Cryptocurrency Security

On Tuesday, September 11, the Financial Industry Regulatory Authority (“FINRA”) took its first disciplinary action against an industry professional, charging a broker, Timothy Tilton Ayre, with securities fraud and the

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Enforcement, FINRA, Securities, US

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