FinTech Update

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4 results for: finra

7/10/2019 3:22:35 PM

U.S. Securities and Exchange Commission Publishes Joint Statement on Broker-Dealer Custody of Digital Asset Securities

By Christine Parker

On July 8, 2019 the U.S. Securities and Exchange Commission (the “SEC”) and the Financial Industry Regulatory Authority (“FINRA”) (both,...

7/10/2019 3:22:35 PM

By Christine Parker Le-el Sinai

On July 8, 2019 the U.S. Securities and Exchange Commission (the “SEC”) and the Financial Industry Regulatory Authority (“FINRA”) (both,...

6/21/2019 12:45:47 PM

By Herb Kozlov

On June 5, 2019, a Financial Industry Regulatory Authority (FINRA) panel handed down its first enforcement action against a funding...

6/21/2019 12:45:47 PM

By Herb Kozlov C. Gray Le-el Sinai +1 more...

On June 5, 2019, a Financial Industry Regulatory Authority (FINRA) panel handed down its first enforcement action against a funding...