Cryptic crypto – FINRA says crypto marketing needs clearing up
After a two-year review, FINRA has found that 70% of broker dealers’ crypto marketing communications violate rules requiring they be “fair and balanced”.
Are Crypto Regulations too Cryptic? Not if you ask the SEC
With the SEC taking leading cryptocurrency exchanges to court, questions are being raised about whether regulations require more clarity, and the potential impacts of communications risk.
Recordkeeping failures dominate SEC enforcement results in 2022
The SEC has published its enforcement results for fiscal year 2022, revealing a record year for penalties. We look at the 5 key takeaways.
FINRA sweeps communications for crypto assets
In the face of increased volatility in the crypto asset market, FINRA has asked broker dealers to disclose their communications data for crypto.