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Cryptoassets Financial Industry Regulatory Authority (FINRA) Electronic Communications

Goodwin

Crypt-D’OH! FINRA says 70% of BD Crypto Asset Communications Are Deficient

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In January 2024, FINRA provided an update on its targeted examination of firms’ crypto asset communications. FINRA launched this targeted examination series in November 2022 to “review the practices of certain member firms...more

Goodwin

FINRA Publishes 2024 Annual Regulatory Oversight Report

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On January 9, 2024, FINRA published its 2024 Annual Regulatory Oversight Report (the “Report”). FINRA publishes the Report as a way to provide its broker-dealer members with insight into findings from FINRA’s Member...more

WilmerHale

FINRA’s 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need to Know

WilmerHale on

On January 9, 2024, the Financial Industry Regulatory Authority published its 2024 FINRA Annual Regulatory Oversight Report. Previously titled Report on FINRA’s Examination and Risk Monitoring Program, the Report is released...more

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