Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
JAN 23, 202412 MIN
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
JAN 23, 202412 MIN
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.