In an Investor Bulletin, the SEC and FINRA described the various ways in which a customer may hold securities and warned of the risks associated with crypto assets.
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FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
A broker-dealer settled FINRA charges for failing to accurately calculate its required customer reserve, which resulted in recordkeeping, reporting, supervision and customer protection rule violations.
A firm settled FINRA charges for failing to calculate customer reserves accurately.
The SEC Division of Examinations outlined areas of focus concerning digital asset securities for future examinations.