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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

FromFINRA Unscripted


Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

FromFINRA Unscripted

ratings:
Length:
13 minutes
Released:
Jan 23, 2024
Format:
Podcast episode

Description

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November 2022.Resources mentioned in this episode:Advertising Regulation DepartmentCrypto Asset Communications Targeted Exam LetterCrypto Asset Key TopicsFINRA Blog: An Inside Look into FINRA’s Crypto Asset WorkEpisode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA’s CAI TeamEpisode 138: FINRA’s Blockchain LabRule 2210: Communications with the Public
Released:
Jan 23, 2024
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.