FinTech

An Inside Look into FINRAs Crypto Asset Work

An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets issued or transferred using distributed ledger or blockchain technology. Broker-dealer crossing networks are alternative trading systems that match buy […]

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Guidance for Alternative Trading Systems

Interested parties should consider whether the SEC’s interpretation of “group of persons” is consistent with the intent of the Exchange Act, and the ambiguities that the SEC staff’s related explanatory statements in the release create. For instance, should two or more independent governance token holders who amass sufficient holdings to effectively control decisions of a

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