2026 Crypto Asset Activity Information Request via FINRA Gateway
On June 23, 2026, FINRA published the 2026 Crypto Asset Activity Information Request in FINRA Gateway, asking member firms about their current and planned crypto asset activities. FINRA requests that firms respond by July 24, 2026.
Overview of the 2026 Crypto Asset Activity Information Request – As the securities industry transforms, FINRA is adapting to support vibrant capital markets while remaining firmly focused on our core mission of protecting investors and safeguarding market integrity. With that in mind, FINRA is issuing the 2026 Crypto Asset Activity Information Request to all member firms to better understand how the industry is engaging and adapting to developments involving crypto assets.
Benefit to Firms – FINRA intends to use the information gathered from member firm responses to inform its ongoing efforts to adapt its regulatory programs, including potential FINRA Forward initiatives to modernize oversight, empower compliance and support resilience. FINRA issued a similar request to a subset of member firms in 2023, and we used the responses to develop our Update on Member Firms’ Crypto Asset Activities and the Member Firms’ Nexus to Crypto Assets section of the 2025 and 2026 Annual Regulatory Oversight Reports. In addition, the responses informed our Crypto and Blockchain Education Program for financial professionals.
How to Access the Request – Each firm’s Super Account Administrator (SAA) controls access to the request in FINRA Gateway. The specific entitlement “Information Request Forms–Submit” will provide access to the 2026 Crypto Asset Activity Information Request. If no action is taken, the firm's Super Account Administrator (SAA) will automatically receive the 2026 Crypto Asset Activity Information Request and all related notifications. If the firm would like other personnel to complete the request or receive notifications, the SAA must grant the appropriate FINRA Gateway entitlements before June 23, 2026.
- To complete the request, users must be assigned the "Information Request Forms-Submit" entitlement (see FINRA’s website for step-by-step instructions).
- To ensure the appropriate firm personnel receive all related notifications, additional recipients can be added through FINRA Gateway > Admin > Firm Settings > Quest Notifications (see instructions).
If you have questions about modifying entitlements, please contact the FINRA Support Center at (800) 321-6273 or [email protected].
Webinar – For a more detailed overview of the 2026 Crypto Asset Activity Information Request, FINRA is hosting a webinar on Thurs., June 25, from 2 p.m. to 2:30 p.m. ET. Register today, ask questions in advance and join us live to hear directly from FINRA.
Questions – Please direct questions regarding the 2026 Crypto Asset Activity Information Request to your Risk Monitoring Analyst (RMA). If you need help identifying your RMA, or if you or your firm’s SAA has entitlement or technical questions, please contact the FINRA Support Center at (800) 321-6273 or email [email protected].
Frequently Asked Questions (FAQs) Regarding the Crypto Asset Activity Information Request
The following are answers to questions FINRA has received from firms related to this information request, including during its June 25 webinar. Additional FAQs may be added as they are received.
- Will FINRA share publicly my firm’s responses to the Crypto Asset Activity Information Request?
No, FINRA will NOT share your firm’s responses in subsequent communications about the information request. Like with prior information requests, FINRA may aggregate responses and publish general information about common themes or trends via various communication channels (e.g., blog posts, infographics) as a resource for member firms, but will not include any identifying information or material regarding any specific member firm.
- Two questions (Qs 1 and 2) include a check box asking if the firm “Provid[es] brokerage customers with access to crypto asset trading and/or custody services through a third-party.” If my firm allows customers to purchase and sell crypto-based ETFs, should I check this box?
No—the checkbox is meant to identify firms that, through a third party, offer access to services to trade or custody crypto assets (e.g., ether or bitcoin), not products that hold crypto assets. This question does not pertain to crypto-based ETFs.
- Also regarding the check box in questions 1 and 2 (see Q2 above), should I check this box if my firm offers access to services to trade or custody crypto assets (e.g., ether or bitcoin) via an affiliate?
Yes—the firm should check this box if the firm provides brokerage customers with access to crypto asset trading and/or custody services through any third party, including an affiliate.
- Questions 1 and 2 include a check box asking if the firm “Act[s] as an authorized participant for exchange-traded products that hold crypto assets.” If my firm makes crypto-based ETFs available to customers, is the firm an “authorized participant.”
No—making crypto-based ETFs available to customers does mean the firm acts as an “authorized participant” for exchange-traded products that hold crypto assets. Authorized participants are a very specific business line. They purchase and redeem shares directly with the ETF in the primary market in large blocks of shares called creation units. APs typically sell some or all of their ETF shares in the secondary market, on an exchange.