WebThe decision to examine crypto-related retail communications comes in the wake of the collapse of the FTX crypto exchange. Any written (including electronic) message that is … WebDec 6, 2024 · Riding the coattails of recent news, FINRA announced on November 14 th that it is conducting a targeted exam of firm practices regarding retail communications concerning “Crypto Asset” products and services.. For the purposes of this exam, FINRA defines “Crypto Asset” as an “asset that is issued or transferred using distributed ledger …
FTX Collapse Pushes FINRA To Investigate Crypto Retail Communications
WebNov 16, 2024 · The Financial Industry Regulatory Authority is conducting a targeted exam of broker-dealer practices regarding retail communications on crypto asset products and … WebNov 28, 2024 · FINRA announced that it will target nearly 20 firms and request “all retail communications” concerning crypto assets. According to FINRA, a retail communication is “any written (including electronic) communication that is distributed or made available to more than 25 retail investors within any 30 calendar-day period.” elephant family svg free
Hunter Cannon - SR Talent Acquisition Recruiter - FINRA LinkedIn
WebJan 22, 2024 · Finra targets complex products, crypto Mark Schoeff Jr. 2024-01-22 04:59:39 FINRA IS POISEDto beef up rules surrounding sales of complex products and to enhance safeguards related to... WebApr 10, 2024 · Following Suit, FINRA Also Will Have a Crypto Focus. FINRA likewise announced it is looking at crypto activities as it relates to traditional broker-dealer … WebNov 30, 2024 · The Financial Industry Regulatory Authority (FINRA) just announced that it will begin conducting an investigation into retail communications by broker-dealers regarding products and services in … footdistrict shoes