finra

Сообщение ChainCatcher, согласно отчету Cointelegraph, провайдер инфраструктуры цифровых активов Copper объявил, что его американская дочерняя компания Copper Markets (US) Inc. официально получила квалификацию зарегистрированного брокера-дилера SEC и стала членом FINRA, тем самым официально установив соблюдение норм на рынке в США.Компания будет предоставлять институциональным клиентам услуги квалифицированного хранения, стейкинга, финансирования и внебиржевой торговли, а также откроет свою сеть ClearLoop, позволяя учреждениям закладывать и передавать криптоактивы и токенизированные активы в качестве залога между контрагентами.

Сообщение ChainCatcher, согласно The Block, крипто-маркетмейкер GSR получил одобрение Управления финансового регулирования США (FINRA) и официально завершил приобретение зарегистрированного брокера SEC в Портленде Equilibrium Capital Services, который теперь переименован в GSR Securities. Генеральный директор GSR Син Сунг заявил, что это приобретение укрепит их возможности платформы соответствия брокера в США, с акцентом на обслуживание институциональных клиентов.Ранее GSR уже объявил о планах позиционировать бизнес как "Web3 инвестиционный банк", и после завершения сделки они намерены дополнительно расширить бизнес по токенизированному финансированию. Кроме того, GSR в этом году активно действовал: в апреле на Nasdaq был запущен GSR Crypto Core3 ETF, в марте была приобретена консалтинговая компания по токенам Autonomous и Architech, а также была сделана инвестиция в токенизированную платформу Libeara, принадлежащую SC Ventures; в прошлом месяце финансово-технологическое инвестиционное подразделение Standard Chartered SC Ventures стало первым внешним акционером GSR и завершило инвестиции.

According to official news, the asset tokenization platform Securitize has announced that it has received approval from the Financial Industry Regulatory Authority (FINRA) to expand its brokerage proprietary business through its subsidiary Securitize Market. This allows it to conduct tokenized securities custody business within the framework of traditional brokerages, enabling on-chain atomic swaps and clearing settlements between tokenized securities and stablecoins, as well as participating in the primary and secondary issuance underwriting and sales of tokenized securities.

According to Cointelegraph, research by the Financial Industry Regulatory Authority (FINRA) shows that while the proportion of investors holding cryptocurrencies remained steady at 27% from 2021 to 2024, the percentage of investors considering increasing their holdings or making their first purchase of cryptocurrencies dropped from 33% in 2021 to 26% in 2024.The proportion of high-risk investors decreased by 4 percentage points to 8% since 2021, with the largest decline among investors under 35, who saw a drop of 9 percentage points to 15%. FINRA believes that interest rates, inflation, and economic uncertainty have prompted investors to turn to safer assets.The survey covered 2,861 investors and 25,539 adults, finding that 66% of respondents view cryptocurrencies as high-risk investments (up from 58% in 2021). However, one-third of investors believe that taking high risks is necessary to achieve financial goals, with this figure reaching 50% among respondents under 35.The pace of new investors entering the market has also noticeably slowed, with only 8% of investors having entered the market in the past two years, down from 21% in 2021. FINRA concluded that there is an overall moderate trend towards a more cautious attitude and behavior.

ChainCatcher news, according to Coindesk, SOLOTEX will provide tokenized stock trading services for retail investors in the United States with the approval of the Financial Industry Regulatory Authority (FINRA).

ChainCatcher news, according to Forbes, London-based one of the largest cryptocurrency market makers GSR has agreed to acquire Equilibrium Capital Services, a FINRA-registered broker-dealer shell company based in Portland, Oregon.The market maker acquired a subsidiary of the same name that is largely dormant for a "six-figure" price, which is dedicated to building an ESG-compliant investment portfolio aimed at quickly entering the U.S. regulated securities market.This acquisition enables GSR to provide investment banking services for traditional companies and crypto startups seeking to raise funds, particularly those looking to add digital assets like Bitcoin or stablecoins to their balance sheets.

ChainCatcher news, tZERO Securities, a subsidiary of tokenized enterprise tZERO, has been approved by the Financial Industry Regulatory Authority (FINRA) to conduct secondary trading of corporate bonds on its Alternative Trading System (ATS).Previously, the company was authorized to issue and list corporate bonds and equity securities. tZERO stated that this move will provide institutional and retail investors with a diverse range of tokenized asset and liquidity options, further solidifying its leading position in the field of digital securities issuance, trading, and custody.

ChainCatcher news, according to CoinDesk, the digital asset securities platform Prometheum announced the acquisition of SEC and FINRA registered broker-dealer ProFinancial, and the establishment of an SEC registered digital transfer agent, creating a fully compliant tokenization platform covering issuance, trading, and custody.Co-CEO Aaron Kaplan stated that the goal is to achieve the on-chain representation of real assets under the U.S. regulatory framework, capturing the trillion-dollar asset tokenization market. Currently, competition in this field is intensifying, with institutions such as Securitize, Superstate, and Tokeny also actively positioning themselves. Kaplan mentioned that Prometheum has built its trading and custody infrastructure ahead of the market, providing a unique competitive advantage.

ChainCatcher news, according to Financefeeds, Ripple-supported prime brokerage platform Hidden Road has received a broker-dealer license issued by the Financial Industry Regulatory Authority (FINRA). This move comes just days after Ripple announced its acquisition of the company for $1.25 billion. The license grants Hidden Road Partners CIV US LLC the ability to provide a full suite of fixed income prime brokerage services to institutional clients, including compliance clearing, financing, and trade execution.

ChainCatcher news, according to Bloomberg, two subsidiaries of Robinhood Markets Inc. have agreed to pay $26 million to settle charges brought by the Financial Industry Regulatory Authority (FINRA). FINRA accused Robinhood of failing to respond to warning signs of potential misconduct and failing to verify the identities of thousands of customers.The fine from this brokerage industry regulator follows another $45 million settlement reached by Robinhood Securities and Robinhood Financial with the Securities and Exchange Commission (SEC) in January. The SEC accused the retail trading company of failing to maintain records, not reporting suspicious activities in a timely manner, and other issues.In the settlement agreement, both companies accepted the findings of the FINRA investigation but neither admitted nor denied the charges, and agreed to commit to rectifying the related issues.

ChainCatcher news, Fox reporter Eleanor Terrett posted on the X platform that the Financial Industry Regulatory Authority (FINRA) has added a section about cryptocurrencies on its website.Although the term "crypto asset security" is not mentioned (except in the "Learn More" section linking to the 2023 SEC investor alert), FINRA still points out that, in addition to trading crypto assets, the assets themselves can also be considered a form of security.The section provides an in-depth overview of various types of crypto assets, how they are bought and sold, and the potential risks associated with them. It also links to additional cryptocurrency-related resources on its own website as well as those from other regulatory agencies such as the SEC, CFTC, and FTC.

ChainCatcher news, according to Fox Business reporter Eleanor Terrett's post on the X platform, some Republican members of the Financial Services Committee, led by U.S. Congressman John Rose, have sent a letter to SEC Chairman Gary Gensler and FINRA CEO Robert Cook, expressing concerns about their continued silence regarding the Ethereum custody service launched by Prometheum Inc. in May of this year, which the relevant regulatory agencies believe falls under the so-called "crypto asset securities."The letter points out that the silence of these agencies on this matter indicates that, given the SEC has already acknowledged that ETH is not a security, and the term "crypto asset securities" does not apply to the tokens themselves but rather to the manner in which the tokens are sold, it has created market confusion and uncertainty.John Rose stated in the letter: "Participants in the digital asset space deserve certainty from regulators, yet under Gary Gensler's leadership, they have only received chaos and confusion. I hope that as Chairman Gary Gensler cleans out his office, he will seriously listen to our concerns and provide some real guidance before he leaves."

ChainCatcher news, according to official sources, tZERO Group Inc. announced that tZERO digital asset securities have received approval from both the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), becoming a specialized broker-dealer for the custody of new types of digital asset securities.

ChainCatcher news, according to Cointelegraph, the Financial Industry Regulatory Authority (FINRA) has released its 2024 Annual Regulatory Oversight Report, which for the first time includes a dedicated chapter on cryptocurrency titled "Development of Cryptocurrency Assets and Advertising Volume."The cryptocurrency section targets companies currently engaged in or planning to engage in cryptocurrency-related activities. The report states that "FINRA's Member Application Program (MAP) follows SEC guidance to evaluate a company's proposed cryptocurrency securities business line in accordance with applicable rules (such as SEC's financial responsibility rules and customer protection rules)."The organization also requires its members to notify it when engaging in activities related to non-security cryptocurrency assets, as well as when related personnel are involved in external business activities related to cryptocurrency, private securities transactions, and cryptocurrency mining operations.

ChainCatcher news, according to Cointelegraph, after the FTX collapse, the Financial Industry Regulatory Authority (FINRA) has launched an investigation into the retail communications related to the cryptocurrency products and services offered by the company. According to an announcement on FINRA's official website, it is conducting targeted examinations of retail communications involving cryptocurrency asset products and services from major companies, covering the period from July 1, 2022, to September 30, 2022.FINRA requires companies to provide additional information for each communication, such as the date of the initial public offering, whether it was filed with FINRA's advertising regulatory department, whether the company's responsible person approved the communication, and identification of the cryptocurrency assets or services mentioned in the communication. In addition to any relevant compliance rules or materials, FINRA also requires companies to submit written supervisory procedures to "review, approve, record, and disseminate" communications. (Cointelegraph)