The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets... The Financial Industry Regulatory Authority (FINRA) is ‘encouraging’ broker-dealers to keep it informed about their activities involving digital assets. Under Notice 20-23, FINRA is requesting that broker-dealers keep their Risk Monitoring...
On March 23, 2020, the National Society of Compliance Professionals (“NSCP”) convened regulators and industry experts to discuss regulatory guidance...
The Third Circuit Court of Appeals Recently Held that a Forum Selection Clause in a Brokerage Agreement Doesn't Negate a...
FINRA Recently Announced Revisions to its Sanction Guidelines On May 2, 2018, The Financial Industry Regulatory Authority (FINRA) announced revisions...
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