/ Financial Industry Regulatory Authority (FINRA)
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
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
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
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
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
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