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FINRA Provides Update on Member Firms’ Crypto Asset Activities
While many kinds of market participants may engage in crypto asset activities, FINRA only regulates its member firms and their associated persons. With respect to activities involving crypto assets that are securities, member firms and associated persons must comply with the applicable federal securities laws and FINRA rules. In addition, certain FINRA rules apply to activities of member firms and their associated persons with respect to their activities involving assets other than securities, including crypto assets that are not securities. Accordingly, since 2018, FINRA has asked member firms to promptly notify ... (full story)
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- Posted: Aug 14, 2024 12:30am
- Submitted by:Category: Fundamental AnalysisComments: 0 / Views: 95
