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
AI Virtual Conference: Industry Views on the State of Artificial Intelligence
Overlapping Risks, Part 2: Anti-Money Laundering and Elder Exploitation
Overlapping Risks, Part I: Anti-Money Laundering and Cybersecurity
2020 Ketchum Prize: The Financial Security of Americans with Disabilities
Excessive Trading: When A Lot Becomes Too Much
Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology
FINRA’s R&D Program: Exploring the Future of Advanced Analytics
The Ombudsman: FINRA’s Confidential, Independent Resource
Encore | Beyond Hollywood: Money Laundering in the Securities Industry
Virtual Conference Panels: Fireside Chat on Current Issues
Regulation Best Interest: Implementing a New Standard of Conduct
Protecting the Most Vulnerable: How FINRA Enforcement Prioritizes Senior Investors
COVID-19 Task Force: Staying Innovative and Collaborative Through Crisis
Introducing Greg Ruppert and the National Cause and Financial Crimes Detection Programs
FINRA Enforcement: Protecting Investors and Markets in Good Times and Bad
Market Structure & COVID-19: Handling Increased Volatility and Volumes
Securities Helpline for Seniors: Celebrating 5 Years of Senior Investor Protection
Business in the Time of COVID-19: BCPs, Regulatory Relief & More
The MAP Group: Gatekeeper to the Broker-Dealer Industry
FINRA & CE Council: Enhancing Industry Continuing Education
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