Tagged: sro

OKEx Announces New Initiative to Develop Global Compliance Standards For Cryptocurrency Exchanges

OKEx, a Malta-based digital assets exchange, announced on Friday the launch of its new initiative to create a Self-Regulated Organization (SRO) aimed at standardizing cryptocurrency exchange practices and policies. The initiative was announced at the DELTA Summit by Enzo Villani, a former Nasdaq executive who joined… Read More

Virtual Commodity Association Launched, CFTC Commissioner Quintenz Lauds Formation of Aspiring SRO

Virtual Commodity Association Schedules Inaugural Meeting for September A group of industry participants have joined together to create the Virtual Commodity Association (VCA) with the goal of evolving into a self regulatory organization (SRO). The creation of the VCA was revealed earlier this year but… Read More

FINRA Unravelled: Is the Securities Regulator in Need of Profound Reform?

FINRA, or the “Financial Industry Regulatory Authority”, is one of the most powerful financial regulators in the United States. It is also a private corporation that performs its duties as a “self-regulatory organization” (SRO). FINRA oversees the thousands of broker-dealers and other financial industry participants… Read More

FINRA Makes Crowdfunding A Priority For 2014

As they do every year, FINRA has released a letter outlining their priorities for the forthcoming year. Regulatory changes prompted by the passage and implementation of the JOBS Act are featured heavily in the letter as risks that mandate diligence on behalf of FINRA. Issues… Read More

JOBS Act Title III Rules: Moving Closer to Equity Crowdfunding

Under the proposed rules, Title III of the Jumpstart Our Business Startups Act (JOBS Act) will create a new investor class by allowing non-accredited investors to participate in crowdfunding. These rules will lead to a democratized investment landscape profitable to entrepreneurs, inventors, artists, writers, and… Read More

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