Jenny Q. TaDecrypting Misconceptions: A Deep Dive into SPBDs, SEC Guidance, and Coinbase’s Strategic PlaybookCounterargument to an Attorney’s Perspective on RegulationsDec 22, 2023
InProof ReadingbyDaniel AisenBuilding a Broker-Dealer: How Much Does it Cost?This is the seventh and final post in our series on How To Build a Broker-Dealer. Please see the previous posts here: obtaining a…Dec 7, 20211
Acuity Knowledge PartnersRecordkeeping — A must for Asset Managers and Broker-dealersWith evolving technology and digital needs, access to information is just a click away. The pandemic, however, has highlighted a number of…Sep 7, 2023Sep 7, 2023
Jenny Q. TaDecrypting Misconceptions: A Deep Dive into SPBDs, SEC Guidance, and Coinbase’s Strategic PlaybookCounterargument to an Attorney’s Perspective on RegulationsDec 22, 2023
InProof ReadingbyDaniel AisenBuilding a Broker-Dealer: How Much Does it Cost?This is the seventh and final post in our series on How To Build a Broker-Dealer. Please see the previous posts here: obtaining a…Dec 7, 20211
Acuity Knowledge PartnersRecordkeeping — A must for Asset Managers and Broker-dealersWith evolving technology and digital needs, access to information is just a click away. The pandemic, however, has highlighted a number of…Sep 7, 2023
InProof ReadingbyDaniel AisenChoosing a Clearing BrokerOne of the most important decisions for an upstart broker-dealer (that provides execution services) is with which clearing firm to partner…Feb 5, 20203
InSecurity Token GroupbyPeter GaffneyTokenization in 2022 Review — MarchMajor developments and headlines in the tokenization space from March 2022.Aug 29, 2022
InProof ReadingbyDaniel AisenTrading Data Should Belong to the Customer, not the BrokerProof Trading is enacting a new data policy that hands back control over trading data to each respective customer. The full legal agreement…Jan 13, 2022
