Friday, November 22, 2024
Home > dealerbrokers

crypto dealer-brokers and transfer agents under scrutiny

On Oct. 16, the United States Securities and Exchange Commission published its 2024 examination priorities report.  For over a decade, the agency’s Division of Examinations has consistently issued such reports, although it has never appeared at the beginning of the fiscal year. The growing presence of crypto The SEC’s Division of Examinations states they

Read More

SEC plans scrutiny of crypto dealer-brokers, transfer agents, per 2024 exam guide

The United States Securities and Exchange Commission released its 2024 examination priorities report on Oct. 16. The agency’s Division of Examinations has been publishing similar reports for over a decade to let its registrants know the emerging risks it will be focusing on. Crypto dealer-brokers, among others, have been given

Read More