By Jeff Dale2024-01-24T22:54:00
The Financial Industry Regulatory Authority (FINRA) announced Tuesday it uncovered potential violations of its disclosure rules in 70 percent of crypto asset communications reviewed during a targeted exam.
Launched in November 2022, the exam focused on member firms actively communicating with retail customers about crypto assets, according to a press release by the self-regulatory organization.
More than 500 communications were scrutinized for compliance with FINRA Rule 2210, which mandates fair, balanced, and factual broker-dealer communications.
2024-01-22T18:08:00Z By Aaron Nicodemus
The Securities and Exchange Commission’s approval of spot bitcoin exchange-traded funds will provide investors with the same access to bitcoin, bought for cash on the spot market, as they currently have to other investments—for better or worse.
2024-01-09T18:09:00Z By Aaron Nicodemus
A new report from the Financial Industry Regulatory Authority provides observations from examiners on emerging issues affecting the industry, including surveilling potential use of off-channel communications by employees, crypto-asset developments, cybersecurity trends, and more.
2023-12-15T19:37:00Z By Kyle Brasseur
The Securities and Exchange Commission denied a petition filed on behalf of cryptocurrency exchange platform Coinbase that called for the creation of a new regulatory framework for crypto asset securities.
2025-10-03T21:24:00Z By Adrianne Appel
While the Trump administration may have shifted away from pursuing small, white-collar, financial crimes, its focus on health care fraud cases is as hot as ever.
2025-10-01T21:10:00Z By Neil Hodge
The U.K’.s financial regulator has given a strong indication that financial firms’ use of unauthorized devices and apps is under scrutiny and that policies around off-channel communications need to be tightened up.
2025-09-29T19:09:00Z By Adrianne Appel
Regulatory relief from anti-money laundering rules is in the cards for casinos, insurance companies and other non-bank financial institutions, the U.S. Treasury Department’s Treasury’s Financial Crimes Enforcement Network (FinCEN) said Monday.
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