Keyword: Registration

262 results found

Settlement includes 20-year market bans, monetary sanctions

Crypto coins

Crypto firm to pursue full dealer and ATS registration, plus SRO membership

right or wrong choice

Regulator aims to bolster investor protection, modernize rules

European Union headquarters

Consultation proposes registration, supervisory standards for independent reviewers

cryptocurrencies

Regulators craft detailed standards to implement new crypto regime

cryptocurrencies

Crypto lending program amounted to unregistered securities offering, regulator charged

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Personnel moves come ahead of agency's new strategic plan

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Fund industry critics worry about rules' impact on liquidity, costs

Crypto coins

Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions

Judge looks at papers

Regulator calls for continuity plans at one-man shops