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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The FINRA Investor Education Foundation reported that 56 percent of the Gen Z population in the U.S. (ages 18 to 25) invest, with 19 percent owning cryptocurrency and/or non-fungible tokens.
A broker-dealer settled FINRA charges for accepting market orders for newly issued shares prior to the commencement of trading those shares on the secondary market.
A broker-dealer settled FINRA charges for failing to timely review a request to engage in an outside business activity ("OBA") involving the sale of a security.
The SEC extended the deadline to decide whether to approve or disapprove an amendment to the CAT NMS Plan proposal which would implement a revised funding model for the consolidated audit trail and establish a new fee schedule.