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Cryptoassets Best Execution Broker-Dealer

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Potential Impact of the SEC’s Rulemaking Agenda on Crypto

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The current SEC administration has expressed the view that most crypto assets are offered and sold as securities and has proposed several rules that address “digital asset securities” or “crypto asset securities.” In this...more

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FINRA’s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need to Know

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On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more

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