Ghillaine Reid

Ghillaine Reid

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Division of Examinations Issues Risk Alert on Digital Asset Securities

On February 26, the SEC Division of Examinations (Division) (formerly the Office of Compliance Inspections and Examinations) issued a Risk Alert (Alert) relating to the offer, sale, and trading of digital assets that are...more

3/8/2021  /  Books & Records , Broker-Dealer , Digital Assets , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC)
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