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News by results: FINRA

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SEC, FINRA Issue Explanation of Crypto Custodian Approval Delay

SEC, FINRA Issue Explanation of Crypto Custodian Approval Delay

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) believe there are a number of questions they need to address before they can approve crypto companies’ applications to become broker-dealers.

9 JULY 2019

Stonewalled by FINRA, Up to 40 Crypto Securities Wait in Limbo for Launch

Stonewalled by FINRA, Up to 40 Crypto Securities Wait in Limbo for Launch

The Financial Industry Regulatory Authority (FINRA), Wall Street’s self-regulatory organization (SRO), has sat for months on some 40 applications from companies that touch cryptocurrencies, numerous people who deal with the agency told CoinDesk.

18 JUNE 2019

FINRA Charges Broker With Fraud for Trading Unregistered Cryptocurrency

The U.S. Financial Industry Regulatory Authority (FINRA) has filed a complaint against Timothy Tilton Ayre, charging him with securities fraud and the illegal distribution of an unregistered cryptocurrency, according to a statement released on FINRA’s website Tuesday, September 11.

12 SEPTEMBER 2018

FINRA Throws Shade on the ‘SAFT’ ICO Framework

The Financial Industry Regulatory Authority (FINRA), a Washington-based self-regulatory body, has cautioned investors to beware of ICOs touting their adoption of the SAFT (Simple Agreements for Future Tokens) framework as evidence of investment security or regulatory compliance.

20 AUGUST 2018

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