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 Department
Crypto Asset Communications Targeted Exam Letter
Crypto Asset Key Topics
FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work
Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
Episode 137: The Crucial Role of FINRA’s CAI Team
Episode 138: FINRA’s Blockchain Lab
Rule 2210: Communications with the Public
FINRA Enforcement: Bringing Cases Against Individual Brokers
Regulatory Operations: Stronger Regulation Through Integrated Oversight
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
Financial Capability Study: Financial Wellbeing During a Global Pandemic
Encore | The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Regulation Best Interest and Form CRS: Two Years In
Building a Better Future: FINRA’s Diversity, Equity & Inclusion Program
AML Update: The Latest Trends and Effective Practices
FINRA Annual Conference: Fireside Chat with Eileen Murray
The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
MAP Transformation: Streamlining FINRA's Gatekeeper Function
Encore | FINRA Foundation Military Spouse Fellowship Program: Assisting Service Members and Their Families
Fraud Stoppers: FINRA’s Market Investigations Team
Report on FINRA’s Examination and Risk Monitoring Program | A Comprehensive Reference Item for Firms
Celebrating 100: FINRA Unscripted's Greatest Hits
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Deep Learning: The Future of the Market Manipulation Surveillance Program
What to Expect: CE Transformation & Maintaining Qualifications Program
Encore | At, By or Through: Fraud in the Broker-Dealer Industry
The Cornerstone of FINRA’s Market Surveillance Program: A Historical Commitment to Market Transparency
Create your
podcast in
minutes
It is Free
City Manager Unfiltered
Potencial Americano
The ASIC Podcast
The Chris Plante Show
Red Eye Radio