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.
2025-07-09T19:15:00Z By Ruth Prickett
Will “taking an axe to” red tape and onerous reporting commitments free up trillions invested in U.K. pensions and increase the value of assets managed by regulated financial services firms?
2025-07-08T15:43:00Z By Oscar Gonzalez
The U.S. Department of Labor (DOL) appears to be in the process of deregulating work rules. Some of the changes proposed would result in a reduction of pay for certain health workers and allow minors to work hazardous jobs.
2025-07-07T17:15:00Z By Oscar Gonzalez
SEC Chair Paul Atkins pointed to the growth of tokenized shares as a key development reshaping private markets, suggesting the agency is preparing to update its rules to keep pace with new forms of digital asset trading and settlement.
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