On January 28, 2025, FINRA published its Annual Regulatory Oversight Report (the Report). The Report highlights emerging risk areas and recent developments, common compliance deficiencies, and best practices for member firms....more
2/19/2025
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Artificial Intelligence ,
Cybersecurity ,
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Financial Industry Regulatory Authority (FINRA) ,
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Third-Party Service Provider
One of the world’s largest cryptocurrency exchanges - FTX Trading Ltd. - and many of its affiliates filed for bankruptcy earlier this month. While the full impact of the FTX bankruptcy is not yet clear, various responses from...more
12/1/2022
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CFTC ,
Chapter 11 ,
Commercial Bankruptcy ,
Corporate Counsel ,
Crypto Exchanges ,
Cryptocurrency ,
Federal Reserve ,
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