SEC Directs Examiners to Focus on How US Broker-Dealers Are Pitching Crypto

2023-2-8 02:11

U.S. broker-dealers and investment advisers that deal in crypto will get extra scrutiny from Securities and Exchange Commission examiners this year, according to the agency’s annual examination priorities announced Tuesday.

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broker-dealers crypto examiners year according exchange securities

broker-dealers crypto → Результатов: 20


Paxos introduces financial advisor crypto trading for broker-dealers

Paxos, a regulated blockchain infrastructure and crypto exchange platform, has today announced the launch of financial advisor crypto trading within Paxos Crypto Brokerage. The new functionality allows broker-dealers to provide a comprehensive wealth management solution to financial advisors so that they can trade crypto on behalf of their clients.

2022-6-8 20:17


SEC Explains Itself by Issuing a Risk Alert for Crypto Assets

The SEC pointed out that Risk Alerts are not judgements or warnings or hints at acceptance regarding the subject matter. The alerts only represent the view of the Commission. SEC Viewpoint In this case, the SEC’s Division of Examinations observed certain points “during examinations of investment advisers, broker-dealers, and transfer agents” regarding crypto.

2021-2-27 18:01


As Crypto Custodian Approval Endures Delays, SEC and FINRA Issue a Statement to Explain

The Securities and Exchange Commission (SEC) has continually denied crypto-related endeavors to get exchange traded funds and broker-dealers in the crypto industry approved. However, to help the public gain a better understanding, the SEC and the Financial Industry Regulatory Authority (FINRA) have made a joint statement, explaining why there are many concerns that need to […]

2019-7-9 03:55