The Securities and Exchange Commission (SEC) has taken a significant step toward permitting broker-dealers to custody digital assets and ...

The Staff noted that Securities Exchange Act (SEA) Rule 15c3-3 (b) only applies to securities carried by a broker-dealer. Accordingly, if a broker-dealer carries non-security crypto assets (e.g., ...

Performing due diligence for other investment products ... Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than ...

tZERO's Special Purpose Broker Dealer (one of two in the US) and Tokenization Unit continue to lead compliant Digital Securities end-to-end lifecycle, new capabilities to enhance transparency ...