September 26, 2020

Volume X, Number 270

How to Apply to Register with the SEC and FINRA

Enforcement actions by the U.S. Securities and Exchange Commission (“SEC”) have focused on the regulation of platforms facilitating the trading of digital assets that are securities. Your final reminder to join members of Polsinelli’s FinTech and Regulation Practice  for a webinar on when digital asset trading platforms are subject to regulation by the SEC, how to register with the SEC and the Financial Industry Regulatory Authority (FINRA) as a broker-dealer or an alternative trading system (ATS), and how to register as a securities exchange.


  • SEC Regulation of Digital Assets

  • What is a Broker-Dealer?

  • SEC Enforcement Actions Against Operators of Platforms for Trading Digital Assets

  • What is an Exchange?

  • What is an ATS?

  • Broker-dealer Registration Process

  • ATS Registration Process

  • Exchange Application Process

Hear from speakers that have represented broker-dealers and ATSs since 1999 when Regulation ATS went into effect that have registered numerous broker-dealers and ATS. The speakers have extensive experience on the regulation of digital assets and blockchain technology that have advised the first ATSs for the trading of digital assets as securities. CLE credit pending.

Event Location: 

Upcoming Legal Education Events

Tuesday, September 29, 2020 to Wednesday, September 30, 2020
Tuesday, September 29, 2020
Wednesday, October 14, 2020
Wednesday, October 14, 2020