Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
Audio is streamed directly from the publisher (cdn.simplecast.com) as published in their RSS feed. Play Podcasts does not host this file. Rights-holders can request removal through the copyright & takedown page.
Show Notes
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
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
Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail
Subscribe to our show on Apple Podcasts, Google Play and by RSS.