Topic: FINRA

FINRA Extends Information Request Period for Digital Assets (Virtual Coins and Tokens)‎

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.

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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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