Broker-Dealers
Ondo Finance to Buy SEC-Regulated Broker Oasis Pro for U.S. Tokenized Stock Push
The deal, pending regulatory approval, would give Ondo licenses to operate a broker-dealer, ATS and transfer agent for digital securities in the U.S.
Hidden Road, Set to Be Acquired by Ripple, Wins U.S. Broker-Dealer License
Issued by FINRA, the license will allow the company to broaden fixed income prime brokerage services for institutional clients.
Archax Buys FINRA-Regulated Broker Dealer to Offer Tokenized Assets in the U.S.
The firm plans to offer tokenized real-world assets and equities in the U.S. building on its existing partnerships across blockchains such as Ethereum, Polygon, Hedera Hashgraph and XRP Ledger.
Wall Street's Cantor Fitzgerald to Open Bitcoin Financing, Lending Business
The financial services company will start with $2 billion in lending.
DeFi Shouldn't Have to Worry About the SEC’s Expanded Broker Rule
A move to expand regulatory oversight over hedge funds and market makers could also rope in AMMs, experts say. But if these protocols cannot comply, is it really a threat?
Come in and Register? These Firms Say They Found an SEC-Friendly Crypto Path
As the industry fights with the U.S. regulator over “impossible” demands, Prometheum Capital and others win approvals to deal in crypto securities.
SEC Directs Examiners to Focus on How US Broker-Dealers Are Pitching Crypto
The U.S. securities regulator issued its annual examination priorities on how it’ll keep track of emerging risks. The handling of crypto was one of the highlights.
Paxos Adds Financial Adviser Crypto Trading to Brokerage Platform
While just 15% of financial advisers are allocating crypto in customer accounts, 94% have received crypto-related questions from clients, said Paxos, citing recent survey data.
The SEC's New Proposal to Redefine 'Dealer' Could Spell Bad News for DeFi
The 200-page proposal is ostensibly about the electronic trading of U.S. Treasurys – but many industry insiders smell a sneak attack against crypto.
Winklevoss-Owned Gemini Galactic Snags FINRA Broker-Dealer Approval
The license could open up future opportunities around digital securities trading.
