FINRA News
- FINRA Announces Final Results of Mutual Fund Waiver Initiative July 17, 2019Total of 56 Settlements Reached with Member Firms Resulting in $89 Million in Restitution to Eligible Charitable and Retirement Accounts
- FINRA Releases New Guidance on Credit for Extraordinary Cooperation July 11, 2019
- Joint Statement on Broker-Dealer Custody of Digital Asset Securities July 8, 2019WASHINGTON – 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.
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