Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November 2022.Resources mentioned in this episode:Advertising Regulation DepartmentCrypto Asset Communications Targeted Exam LetterCrypto Asset Key TopicsCrypto Sweep UpdateFINRA Blog: An Inside Look into FINRA’s Crypto Asset WorkEpisode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto HubEpisode 137: The Crucial Role of FINRA’s CAI TeamEpisode 138: FINRA’s Blockchain LabRule 2210: Communications with the Public Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.

Episode metadata supplied by the publisher feed · Published Jan 23, 2024

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On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.

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