By: Gustavo Dolfino Cryptocurrency has revolutionized the financial world. It has provided an alternative to traditional banking systems, allowing people to trade assets and store wealth outside of government control. While crypto offers financial freedom, it has also caught the attention of regulators like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These agencies were …
Are ETF Funds Really Accessible? The SEC & FINRA Rules That Matter
By: Gustavo G. Dolfino Here’s your expanded and detailed blog article in Markdown format: Exchange-traded funds (ETFs) have exploded in popularity over the past two decades. With their ability to provide diversification, ease of trading, and cost efficiency, they have become a go-to investment choice for millions of retail investors. But despite their benefits, an important question remains: Are ETF …
SEC vs. Pro-Business Policies: Can Regulators Balance Their Duties in a Pro-Biz World?
The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have long served as guardians of financial markets, ensuring fairness, transparency, and investor protection. However, their role becomes more challenging when pro-business policies come into play, aiming to reduce regulations and boost economic growth. Can the SEC and FINRA continue to fulfill their regulatory duties effectively …
Can Retail Brokers Sell Crypto? SEC & FINRA’s Surprising Stance
Cryptocurrency has transformed from a niche market into a mainstream investment asset. With Bitcoin, Ethereum, and thousands of other digital currencies gaining popularity, retail investors are increasingly looking for ways to buy, sell, and trade these assets. Traditionally, investors rely on retail brokers to facilitate stock and bond purchases. Given the explosive growth of crypto, many wonder: Can retail brokers …
How Broker-Dealers Can Keep Retail Brokers in Check When Selling Crypto – FINRA’s Role Explained!
Cryptocurrency has emerged as one of the most talked-about investment opportunities in recent years. Many investors are eager to add digital assets to their portfolios, hoping to capitalize on the rapid growth and potential high returns. Broker-dealers must establish strong compliance mechanisms to ensure that their retail brokers follow ethical sales practices, avoid fraud, and act in the best interests …
From Bitcoin to Digital Dollar: The Future of Money Is Closer Than You Think
Money has always evolved alongside human civilization. From barter systems to gold coins, paper currency to credit cards, financial systems continue to change to meet the needs of societies. Today, we stand at the edge of another major transformation—one that could redefine how money works. Cryptocurrencies, which started as a niche technological experiment, are now influencing the future of financial …
Crypto Regulations Are Changing – Here’s What SEC & FINRA Have Planned
Cryptocurrency has exploded in popularity over the last decade, evolving from a niche technology into a multi-trillion-dollar market. However, with this rapid growth, there has also been increasing concern about fraud, security risks, and financial crimes. As a result, regulators are stepping in to impose new rules aimed at making the crypto industry safer and more transparent. Two of the …