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Nalezeno "Broker-Dealers": 25

SEC’s agenda proposes crypto safe harbors, broker-dealers reforms

4.9.2025
The proposed rule changes potentially affecting SEC guidelines on broker-dealers, custody and reporting could allow crypto companies to operate in the US with less oversight

Ondo Finance Rolls Out Tokenized U.S. Stocks, ETFs as Equity Tokenization Ramps Up

3.9.2025
Ondo Global Market's equity tokens are available on Ethereum and are backed by securities held at U.S.-registered broker-dealers, the firm said

Regulators Handed the Crypto Industry a 5-Year Head Start. Can Wall Street Catch Up?

1.8.2025
Regulatory clarity means that traditional broker-dealers are no longer on the sidelines, says Aaron Kaplan, Co-CEO and founder of Prometheum

Ondo Finance to Buy SEC-Regulated Broker Oasis Pro for U.S. Tokenized Stock Push

4.7.2025
The deal, pending regulatory approval, would give Ondo licenses to operate a broker-dealer, ATS and transfer agent for digital securities in the U.S

SEC Extends Deadline for Broker-Dealers to Meet Daily Reserve Rule Changes

26.6.2025
The SEC’s extended deadline gives broker-dealers a critical buffer to overhaul systems, streamline daily reserve computations, and capitalize on new digital asset custody flexibility. SEC Pushes Back Reserve Computation Rule Deadline for Broker-Dealers The U.S. Securities and Exchange...

Hidden Road, Set to Be Acquired by Ripple, Wins U.S. Broker-Dealer License

17.4.2025
Issued by FINRA, the license will allow the company to broaden fixed income prime brokerage services for institutional clients

Archax Buys FINRA-Regulated Broker Dealer to Offer Tokenized Assets in the U.S.

31.3.2025
The firm plans to offer tokenized real-world assets and equities in the U.S. building on its existing partnerships across blockchains such as Ethereum, Polygon, Hedera Hashgraph and XRP Ledger

Wall Street's Cantor Fitzgerald to Open Bitcoin Financing, Lending Business

27.7.2024

DeFi Shouldn't Have to Worry About the SEC’s Expanded Broker Rule

7.2.2024

Come In And Register? These Firms Say They Found an SEC-Friendly Crypto Path

23.5.2023
The beginnings of a fully compliant U.S. crypto infrastructure may be forming on the industry’s fringes as a watchdog backed by the Securities and Exchange Commission (SEC) quietly issues significant approvals for companies trying to stick to the securities rulebook

SEC Directs Examiners To Focus on How US Broker-Dealers Are Pitching Crypto

8.2.2023
U.S. broker-dealers and investment advisers that deal in crypto will get extra scrutiny from Securities and Exchange Commission examiners this year, according to the agency’s annual examination priorities announced Tuesday

SEC Names Crypto an Exam Priority This Year

1.4.2022
The Securities and Exchange Commission (SEC) has listed crypto assets as an examination priority for market participants this year. “In this time of heightened market volatility, our priorities are tailored to focus on emerging issues, such as crypto assets,” said an official with...

Crypto Firm Uphold Gets US OK to Buy Broker-Dealer JNK Securities

31.3.2021
Uphold is set to become one of the first cryptocurrency businesses in the U.S. to offer securities on an omnibus basis to retail investors, the company said

Digital Securities Brokers May Not Be Subject to Enforcement for 5 Years, Says US Regulator

24.12.2020
The U.S. Securities and Exchange Commission (SEC) issued a statement and is looking for public comment toward the custody of digital asset securities that have been handled by special purpose broker-dealers. The statement from the SEC follows the recent crackdown against Ripple Labs and...