Our recent client alert discusses FINRA’s targeted exams of its members focused on certain retail communications concerning “crypto asset” products and services between July 1, 2022 and September 30, 2022.
Our recent client alert discusses FINRA’s targeted exams of its members focused on certain retail communications concerning “crypto asset” products and services between July 1, 2022 and September 30, 2022.
Our recent client alert discusses the path to registration for digital or crypto asset securities brokers.
Our recent client alert discusses FINRA’s recent focus on succession planning.
Our recent client alert discusses the new broker-dealer recordkeeping requirements for broker-dealers.
Our recent client alert covers FINRA’s views on this topic.
Our recent client alert addresses FINRA’s recent guidance on Reg. BI compliance.
Our recent client alert covers the recent recordkeeping fines from the SEC and CFTC.
Our recent client alert discusses a recent SEC staff bulletin covering the standards of conduct for broker-dealer and investment adviser conflicts of interest. The staff bulletin includes 13 Q&As categorized into five different flavors relating to identifying, eliminating, mitigating, and disclosing conflicts of interest, as well as related to product…
Law360 published some of our recent thoughts on the SEC’s framework for regulating cryptocurrency and DeFi. You can read that article here.
FINRA recently proposed amendments to FINRA Rule 3110 (Supervision) to adopt a voluntary, three-year pilot program (Pilot Program) to allow member firms to conduct remote branch office inspections. In a nod to where things have headed since the onset of the Covid-19 pandemic (WFH and such), providing firms with the…