Broker-dealer guidance refers to the regulatory directives and interpretations issued to entities that facilitate the buying and selling of securities. These guidelines establish the operational standards, compliance requirements, and risk management protocols that broker-dealers must adhere to. They are crucial for maintaining market integrity and investor protection.
Context
The current discourse on broker-dealer guidance in the digital asset space is largely focused on how existing securities regulations apply to cryptocurrency transactions. Regulatory bodies are actively clarifying their stances on whether certain digital assets qualify as securities, which has significant implications for entities operating as broker-dealers within this evolving ecosystem.
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