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Troutman Pepper Locke

FINRA Continues to Scrutinize Customer Facing Communications on Crypto Offerings

Troutman Pepper Locke on

On July 16, TradeStation Securities, Inc., a member firm of the Financial Industry Regulatory Authority (FINRA), submitted a Letter of Acceptance, Waiver, and Consent (AWC) to FINRA’s Department of Enforcement. This AWC...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

[Event] 2023 Alternative Investments Outlook - March 30th, New York, NY

Join Tannenbaum Helpern for our 2023 Alternative Investments Outlook program. This year’s event will examine the current regulatory landscape for Registered Investment Advisors, including among other topics the SEC’s...more

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