During a May 19, 2021 webcast at the Financial Industry Regulatory Authority’s (“FINRA”) annual conference, Amy Sochard, FINRA’s Vice President of Advertising Regulation, indicated that the organization will seek public...more
6/2/2021
/ Broker-Dealer ,
Competition ,
Disclosure ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Gamification ,
Investigations ,
Investors ,
Regulation Best Interest ,
Risk Factors ,
Securities and Exchange Commission (SEC)
The Office of the Comptroller of the Currency (“OCC”) recently signaled its approval for banks to fully wade into the cryptocurrency custodian space. On in a July 22, 2020 interpretive letter, the OCC concluded that a...more
On May 13, 2020, Financial Crimes Enforcement Network (“FinCEN”) Director Kenneth Blanco delivered remarks to the Consensus Blockchain Conference regarding the agency’s recent observations in connection with virtual...more