May 19, 2020

This webinar was previously recorded on May 19, 2020. To view a recording of the webinar, click here. To access an audio only recording, click here. To view the materials from this webinar, click here. CLE credit is not eligible for on demand viewing.  

How to Apply to Register with the SEC and FINRA as a Broker, Dealer or ATS

Tuesday, May 19
12:00 PM - 1:00 PM (CST) 

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. 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.