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.
2025-09-05T18:42:00Z By Adrianne Appel
The Department of Health and Human Services is stepping up its enforcement against hospitals and other health entities that block the sharing of electronic health records.
2025-09-04T18:49:00Z By Ruth Prickett
The EU has one, the U.K. is getting one, many U.S. states are working with Google and Apple to provide one, and now industry sectors are developing their own digital wallet.
2025-08-28T20:40:00Z By Aaron Nicodemus
The order barring three Mexican financial institutions from doing business with U.S. financial institutions has been delayed until October.
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