On July 18, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 19-24[1], which extended the deadline of FINRA’s previously issued notice that asked members to keep their Regulatory Coordinator informed if the firm, or its associates or affiliates, engaged, or intended to engage, in activities related to digital assets.
Read MoreOn 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.
Read MoreOn April 12, 2017, the Financial Regulatory Industry Authority (“FINRA”) released a regulatory notice requesting comments on proposed amendments to FINRA Rule 5110 (commonly referred to as the Corporate Financing Rule, the “Rule”) in order to simplify, clarify and modernize the Rule.
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