Tag Archives: FINRA Rules

SEC/FINRA Joint Statement on Broker-Dealer Custody of Digital Assets

The SEC’s Division of Trading and Markets and the Office of the General Counsel of FINRA (Financial Industry Regulatory Authority) published on July 8, 2019, a joint staff statement (Custody Release) on broker-dealer custody of digital assets. The statement has been eagerly awaited by market participants, including broker-dealers, given significant uncertainty in the application of … Continue Reading

SEC Approves New Rule Requiring BrokerCheck Link on Websites

The SEC has approved a proposal to amend FINRA Rule 2210, which governs “Communications with the Public.” The new rule will require Internet hyperlinks to FINRA’s BrokerCheck database on websites maintained by broker-dealers, their branch offices, and their registered representatives. BrokerCheck is a searchable database that contains the employment, registration, and disciplinary histories of all … Continue Reading
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