/ Financial Industry Regulatory Authority (FINRA)


FINRA Requests Retail Communications from Crypto Firms
/ Policy

FINRA Requests Retail Communications from Crypto Firms

US self-regulatory authority FINRA asked crypto companies to provide all retail communications data following FTX's demise last week.

November 18, 2022
Harbor Receives Broker-Dealer License from FINRA

Harbor Receives Broker-Dealer License from FINRA

As of September 27th 2019, Harbor Square Investments— a subsidiary of security token platform Harbor— is a licensed broker-dealer. The license was granted by the Financial Industry Regulatory ...

September 28, 2019
Galaxy Digital Receives FINRA Approval to Underwrite Public Securities Offerings

Galaxy Digital Receives FINRA Approval to Underwrite Public Securities Offerings

As of late-July 2019, Galaxy Digital Holdings has announced that the Financial Industry Regulatory Authority (FINRA) has approved the business expansion of its broker-dealer, Galaxy Digital Advisors ...

July 29, 2019
Gemini Set to Apply for FINRA Broker-Dealer License to Facilitate Security Token Trading

Gemini Set to Apply for FINRA Broker-Dealer License to Facilitate Security Token Trading

As of early July 2019, Gemini is set to apply for a broker-dealer license. The exchange has already had involvement in the security token industry, and is now taking a step towards facilitating the ...

July 04, 2019
The Financial Industry Regulatory Authority (FINRA) Talks Blockchain, Proposes Machine-Reading to Help Asset Tokenization

The Financial Industry Regulatory Authority (FINRA) Talks Blockchain, Proposes Machine-Reading to Help Asset Tokenization

FINRA, an independent non-governmental regulator for security firms, has been looking at distributed ledger systems for some time now. Releasing a special notice recently, they have introduced some ...

October 07, 2018