Andrew Van Houter

Andrew Van Houter

Faegre Drinker Biddle & Reath LLP

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SIFMA C&L March 2023 Annual Conference – A Focus on Crypto

The 2023 Securities Industry and Financial Markets Association’s (SIFMA) Compliance & Legal Annual Seminar, as usual, was well attended by compliance and legal professionals, including FINRA executives and SEC directors. The...more

4/10/2023  /  Cryptoassets , Cryptocurrency , Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Proposed Rules , Regulatory Agenda , Securities and Exchange Commission (SEC) , Securities Litigation , SIFMA

FINRA Is Conducting a Targeted Exam of “Crypto Assets”

Riding the coattails of recent news, FINRA announced on November 14th that it is conducting a targeted exam of firm practices regarding retail communications concerning “Crypto Asset” products and services....more

12/6/2022  /  Blockchain , Broker-Dealer , Cryptoassets , Cryptocurrency , Financial Industry Regulatory Authority (FINRA) , Regulatory Agenda , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Securities Regulation , Virtual Currency
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