OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
Joint Statement on Broker-Dealer Custody of Digital Asset…
Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation—including custody—of digital asset securities1 and transactions. In this statement,…
Barbados Issues License for Tokenise’s Digital Asset Platform,…
Digital asset trading platform Daxnet has been granted a Self-Regulatory Organisation (SRO) license by the Financial Services Commission (FSC), Barbados' financial watchdog. The new FSC-regulated entity powered by Tokenise will launch a multi-jurisdictional platform with a…
Futures SRO Talks Budget
The National Futures Association (NFA) is an SRO which governs futures participants and Futures SRO Talks about its budget too. “In 1974, Congress established the Commodity Futures Trading Commission (CFTC). The same legislation that established…
Next Step for FINRA 360 “Listen, Reflect, and…
FINRA’s self-evaluation process will now involve listening, reflecting and action. In the latest episode of FINRA’s podcast, Unscripted, rather than guests, the organization played a tape from the “Fireside Chat” which occurred at FINRA’s most…
FINRA Budget Examined
FINRA, the Financial Industry Regulatory Authority, is expected to have a budget deficit in 2019, but that is not necessarily bad. In the latest episode of Unscripted, FINRA’s podcast, the guest was Chief Financial and…
CFTC Unanimously Approves Project KISS Rulemakings to Ease…
The Commodity Futures Trading Commission (CFTC) announced today that it has unanimously approved Project KISS Rulemakings to simplify registrants’ obligations. [caption id="attachment_329494" align="alignright" width="300"] CFTC Chairman J. Christopher Giancarlo[/caption] “These final rule both originated as…
FINRA to Upgrade Registration System
FINRA’s system for registering broker/dealers is getting an upgrade and moving into the 21st century. FINRA’s Central Registration and Depository (CRD) system is the central licensing and registration system for FINRA, all of the Securities and…
SEC Names Manisha Kimmel as Senior Policy Advisor…
The Securities and Exchange Commission today announced that Manisha Kimmel will serve as Senior Policy Advisor for Regulatory Reporting to Chairman Jay Clayton. In this new role, Ms. Kimmel will coordinate the SEC’s oversight of…