SEC’s Chair Gary Gensler Issues Statement on Amendments to Broker-Dealer Registration Rule
The U.S. Securities and Trade Fee (SEC) oversees the registration of broker-dealers, people or companies engaged in shopping for and ...
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Tag: brokerdealer
The SEC Rejected Coinbase’s Registration as a Broker-Dealer in the US
Whereas Coinbase sought to discover a compliant pathway, the SEC and state-level authorities seem unyielding of their stance. The SEC’s ...
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Prometheum becomes first crypto company to be approved by SEC, FINRA as special-purpose broker-dealer
New York-based Prometheum Ember Capital (PMC) secured regulatory approval to turn out to be the primary crypto-focused firm to register ...
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