FINRA

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FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets

FINRA Wants to Know If Broker-Dealers Are Involved in Digital Assets

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 Analyst informed if the firm, […]

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