Recognizing the “swiftly developing” digital asset marketplace—a loosely defined sector encompassing cryptocurrencies, virtual coins or tokens (including Initial Coin Offerings or “ICOs”), and other blockchain-related financial assets—the SEC’s Division of Investment Management (the “Division”) has commenced an open-ended request for public comment on how such crypto-assets impact its decades-old Advisers…
On January 8, 2018, FINRA published its 2018 Annual Regulatory and Examination Priorities Letter. As we noted in our last blog post, FINRA announced in December 2017 that it would continue to make enforcement a priority in the coming year. This Letter can be useful in helping firms ensure compliance…
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