News & Analysis as of

Marketing Cryptocurrency Broker-Dealer

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

Cozen O'Connor

A Helpful Reminder for Broker-Dealers Subject to Examination by the SEC

Cozen O'Connor on

On June 5, 2024, the SEC's Division of Examinations (the Division) released a risk alert regarding the examination of broker-dealers. The alert acknowledges the diversity of the broker-dealer population in the marketplace...more

Eversheds Sutherland (US) LLP

New FINRA sweep targets crypto marketing

As might be expected, FINRA appears to be aligning itself with the SEC in its assertion of jurisdiction over investments that may not, at the end of the day, be deemed securities. ...more

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