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

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Manage episode 397061703 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.

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 Department

Crypto Asset Communications Targeted Exam Letter

Crypto Asset Key Topics

Crypto Sweep Update

FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work

Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub

Episode 137: The Crucial Role of FINRA’s CAI Team

Episode 138: FINRA’s Blockchain Lab

Rule 2210: Communications with the Public

Find us: X / Facebook / LinkedIn / E-mail

  continue reading

159 episodes

Artwork
iconShare
 
Manage episode 397061703 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.

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 Department

Crypto Asset Communications Targeted Exam Letter

Crypto Asset Key Topics

Crypto Sweep Update

FINRA Blog: An Inside Look into FINRA’s Crypto Asset Work

Episode 136: An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub

Episode 137: The Crucial Role of FINRA’s CAI Team

Episode 138: FINRA’s Blockchain Lab

Rule 2210: Communications with the Public

Find us: X / Facebook / LinkedIn / E-mail

  continue reading

159 episodes

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