Joint SEC/FINRA Staff Statement Offers Guidance Relating to Broker-Dealer Custody of Digital Asset Securities
On July 8, 2019, the staffs of the Division of Trading and Markets, U.S. Securities and Exchange Commission (“SEC”) and the Office of General Counsel, Financial Industry Regulatory Authority (“FINRA”) released a joint statement (the “Joint Statement”) providing guidance with respect to applicable regulations relating to broker-dealer custody of digital asset securities.
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