Madeline Olivia Baruch

Madeline Olivia Baruch

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FINRA Finds Potential Rule Violations in Crypto Asset Sweep

In November 2022, the Financial Industry Regulatory Authority (FINRA) launched a targeted crypto asset sweep, reviewing more than 500 retail communications related to crypto assets from member firms....more

1/30/2024  /  Broker-Dealer , Cryptoassets , Digital Assets , Financial Crimes , Financial Industry Regulatory Authority (FINRA) , FinTech , Investment , Regulatory Oversight , Securities and Exchange Commission (SEC) , Smart Contracts
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