FINRA’s guidance sheds further light on the new rule, which will permit firms to elect “non-branch” designation for a private residence where an associated person conducts specified supervisory activities....more
5/8/2024
/ Coronavirus/COVID-19 ,
Exemptions ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
New Rules ,
Primary Residence ,
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Relief Measures ,
Remote Working ,
Reporting Requirements ,
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Securities and Exchange Commission (SEC) ,
Supervision
The Guidance clarifies the regulator’s expectations on safekeeping customer digital assets, and the disclosures that must accompany such arrangements.
On January 23, 2023, the New York Department of Financial Services...more
2/3/2023
/ Banks ,
BitLicense ,
Cryptoassets ,
Custodians ,
Digital Assets ,
Disclosure Requirements ,
Financial Services Industry ,
Insolvency ,
New Guidance ,
NYDFS ,
Virtual Currency
Guidance clarifies assessment of liability under Rule 3110, including designation as supervisor, application of reasonableness standard, and factors for and against charging compliance officials.
On March 17, 2022, the...more