The staff of the SEC’s Division of Trading and Markets issued a statement explaining how non-custodial crypto wallet providers may offer services and receive fees without broker-dealer registration.
FINRA Targeting Crypto Asset Retail Communications
The Financial Industry Regulatory Authority (FINRA) in November 2022 released a targeted exam letter pertaining to communications for crypto products and services. The relevant period for this exam is July
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SEC Issues No-Action Letter Facilitating the Secondary Trading of Digital Assets
On Sept. 25, 2020, the SEC issued a No-Action Letter to FINRA, in response to a previously issued Joint Statement by the SEC and FINRA. This No-Action Letter detailed how
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