Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, Brexit, UK and EU Developments

BROKER-DEALER -

FINRA Encourages Firms To Disclose Activities Related to Digital Assets -

On July 6, the Financial Industry Regulatory Authority published Regulatory Notice 18-20, which encourages member firms to promptly notify FINRA if the firm or any of its associated persons or affiliates engages or intends to engage in any activities involving digital assets, such as cryptocurrencies and other virtual coins and tokens. Digital assets activities include those relating to digital assets that are not securities and the activities under Rule 3270 (Outside Business Activities of Registered Persons) and Rule 3280 (Private Securities Transactions of an Associated Person).

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Katten Muchin Rosenman LLP
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