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Finra Publishes Crypto Asset Communications Sweep Update

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We have identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70% of crypto asset communications we reviewed, according to a report published today on the results

On this episode, we hear from three experts at FINRA who are closely looking at these technologies and following developments in this space. Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam (January 23, 2024).

Compliance Digest—January 2024

Crypto Assets | FINRA.org

FINRA reviewed more than 500 crypto asset-related retail communications. This included communications distributed or made available by FINRA member firms concerning crypto assets that were offered As part of FINRA’s mission to protect investors and promote market integrity, we are focused on addressing the regulatory challenges presented by our member firms’ ledger or blockchain crypto asset activities. Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called FINRA Publishes Crypto Asset Communications Sweep Update (FINRA – Financial Industry Regulatory Authority Inc) Public Technologies 2024-01-23, 16:08

Guidelines on internal policies, procedures, and controls USA ?? FINRA publishes Crypto Asset Communications Sweep Update What happened? FINRA has identified potential violations of Rule 2210 (Communications with the Public) in 70% of crypto asset communications it reviewed, according to a report published on the results of a

FINRA’s Rule 2210 demands that any communication from broker-dealers to the public must be straightforward, factual, and balanced, especially when discussing complex products like crypto assets. Press Release FINRA FINRA Publishes Crypto Asset Communications Sweep Update January 23, 2024 FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam. Report Press

The results from FINRA's Crypto Asset Communications Sweep are in. Find out why they found violations in approximately 70% of the crypto asset communications

FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.

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WASHINGTON– (BUSINESS WIRE)–FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according sweep which may serve as to a report published today on the results of a targeted exam. In November 2022, FINRA launched a targeted exam to review the practices of certain member firms that actively

Another reminder to #brokerdealers that their communications with the public are subject #FINRA Rule 2210’s content standards – whether or not communications address #securities. On 23 January 2024, the Financial Industry Regulatory Authority (FINRA) published its findings Crypto Asset Communications from a 2022 targeted exam sweep, which may serve as a warning to broker-dealers offering crypto asset The results from FINRA's Crypto Asset Communications Sweep are in. Find out why they found violations in approximately 70% of the crypto asset communications

We have identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70% of crypto asset communications we reviewed, according to a report published today on the results Halyard Compliance’s Post Halyard Compliance 2,123 followers 10mo https://lnkd.in/etY4cr-A #finra #cryptocurrency #digitalassets #fintech #complianceprofessionals FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.

We have identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70% of crypto asset communications we reviewed, according to a report published today on the results

Another reminder to #brokerdealers that their communications with the public are subject #FINRA Rule 2210's content standards – whether or not communications We have identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70% of crypto asset communications we reviewed, according to a report published today on the results FINRA Publishes Crypto Asset Communications Sweep Update finra.org Annie Kong Senior Managing Director/Regional Head, West at IQ-EQ 11mo

FINRA Publishes Crypto Asset Communications Industry Sweep Update 2024 FINRA Regulatory Oversight Report

FINRA Publishes Crypto Asset Communications Sweep Update finra.org 2 Halyard Compliance 1,949 followers 9h https://lnkd.in/gmwbdVXg #finra #complianceservices #complianceprofessionals

FINRA reviewed more than 500 crypto asset-related retail communications. This included communications distributed or made available by FINRA member firms concerning crypto assets that were offered by or through an affiliate of the member or other third party. A handful of firms included in the exam distributed most of the potentially violative communications. FINRA Publishes Crypto Asset Communications Sweep Update | FINRA.org 156 24 Comments RIA Compliance Consultants, Inc. 590 followers 7mo

FINRA’s sweep focused on its member firms’ practices surrounding “retail communications concerning crypto asset products and services” during the period from July 1, 2022, through September 30, 2022. In connection with this sweep, FINRA asked the subject member firms to provide certain pieces of information, including, among other things: A copy of FINRA’s Crypto Communications Sweep Likely to Result in Some Enforcement is conducting Actions Firms should expect a „small number“ of enforcement actions stemming from the targeted exam sweep launched in the Questions to consider There could be additional enforcement actions coming. Last year, in an update on the exam sweep, FINRA reported that its review of more than 500 crypto-asset related retail communications identified “potential violations” in 70% of the communications (RCW, Jan. 25, 2024).

FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according a small to a report published today on the results of a targeted exam. Hot off the press—update on #finra’s work involving retail crypto asset communications.

FINRA released the results of its targeted review of Crypto Asset Communications, finding potential violations in 70% of the communications reviewed. FINRA Publishes Crypto Asset Communications Sweep UpdateCompliance Consulting: Capital Markets, Broker-Dealers, Municipal Advisors, Funding Portals & Crowdfunding, FinTech. Former CCO and

? FINRA recently published findings from a crypto communications sweep ? 70% of materials reviewed had potential ?violations? of Rule 2210 (Communications Last year, FINRA published a regulatory notice to remind firms of their current regulatory obligations 7mo FINRA regarding complex products and options2 and initiated a targeted exam of firms’ crypto asset retail communications.3 In December 2022, FINRA provided an update on its previous targeted exam on firms’ practices and controls related to the

FINRA Publishes Crypto Asset Communications Sweep Update https://www.tradersmagazine.com 6 263 followers 169 Posts

Findings by FINRA's Crypto Asset Communications Sweep Show Potential Violations in 70% of Materials Reviewed. Hot off the press—update on #finra’s work involving retail crypto asset communications. FINRA Publishes Crypto Asset Communications Sweep Update finra.org 2 Halyard Compliance 1,949 followers 3d