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
How the Cloud and Machine Learning Have Transformed Market Surveillance
How the Cloud Has Revolutionized FINRA Technology
What is FINRA’s Dispute Resolution Forum?
ERI: Introducing FINRA’s Weatherman
One Enforcement: Introducing FINRA’s New Enforcement Team
The Senior Helpline: Addressing the Unique Needs of Senior Investors
One FINRA: A Commitment to Diversity and Inclusion
Combatting Cybersecurity Threats
A Touch Point for Politicians and Other Regulators: FINRA’s Office of Government Affairs
Investing Smarter
FINRA360: Building a Stronger FINRA
Building A More Transparent Organization
What Does FINRA’s Chief Economist Do?
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