The Financial Industry Regulatory Authority (FINRA) in November 2022 released a targeted exam letter pertaining to communications for crypto products and services. The relevant period for this exam is July
Continue Reading FINRA Targeting Crypto Asset Retail CommunicationsThe SEC has approved a proposal to amend FINRA Rule 2210, which governs “Communications with the Public.” The new rule will require Internet hyperlinks to FINRA’s BrokerCheck database on websites
Continue Reading SEC Approves New Rule Requiring BrokerCheck Link on Websites