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Expert Analysis

Digital Asset Securities Statement May Be Missed Opportunity

By Ignacio Sandoval, Laura Flores and Mark Fitterman ( July 19, 2019, 3:04 PM EDT) -- A joint statement issued by the staff of the U. S. Securities and Exchange Commission and of the Financial Industry Regulatory Authority provides insight into the issues under consideration regarding broker-dealer custody of digital asset securities, such as initial coin offerings. The SEC and FINRA staff remind entities effecting transactions in digital asset securities of broker-dealer registration requirements and obligations under the broker-dealer financial responsibility rules with regard to custody. . . .

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