Latest News Of FINRA Tag

SEC and FINRA weigh in on crypto custody

Business 10 July 2019

SEC and FINRA weigh in on crypto custody

Two of the primary regulators overseeing financial activity in the U.S. have weighed in on the subject of cryptocurrency custody.

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FINRA slams former Merrill Lynch employee for crypto mining

Business 13 June 2019

FINRA slams former Merrill Lynch employee for crypto mining

The Financial Industry Regulatory Authority in the US has taken action against a former financial advisor with Merrill Lynch for his extracurricular activities.

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Colorado crypto broker scammed $1.5 million, banned by U.S. regulators

Business 26 March 2019

Colorado crypto broker scammed $1.5 million, banned by U.S. regulators

A crypto broker was offering discounted Bitcoin Core (BTC) that seemed to good to be true, and FINRA has shut him down.

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HempCoin promoter charged with unlawful distribution of crypto securities

Business 12 September 2018

HempCoin promoter charged with unlawful distribution of crypto securities

Timothy Tilton Ayre, promoter of a scheme called HempCoin, is charged with promoting the token as an unregulated security, which has been described as “the first minable coin backed by marketable securities.”

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FINRA warns against ICOs offerings SAFTS

Business 19 August 2018

FINRA warns against ICOs offerings SAFTS

The Financial Industry Regulatory Authority (FINRA) has raised the alert for ICO that promote an adoption of SAFT in an effort to try and convince investors that they are offering a security or are in compliance with regulatory guidelines.

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Uphold moves closer to becoming legal US crypto broker-dealer

Business 29 June 2018

Uphold moves closer to becoming legal US crypto broker-dealer

Acquiring JNK Securities would enable Uphold to offer cryptocurrency transactions for its clients and start listing ICO through its securities division.

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Coinbase ‘on track’ to US regulatory nod for crypto securities listing

Business 8 June 2018

Coinbase ‘on track’ to US regulatory nod for crypto securities listing

Securing a regulatory approval in the U.S. will allow Coinbase to operate across the country under the oversight of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).

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