The Financial Industry Regulatory Authority (FINRA), a U.S. self-regulatory body for brokerage services, is targeting crypto marketing practices in the wake of the collapse of industry juggernaut FTX. The assessment will require firms to provide all retail communication concerning crypto assets distributed between July ...Read More

The new “marketing rule” (Rule 206(4)-1 under the U.S. Investment Advisers Act of 1940) enacted by the SEC goes into effect November 4, 2022. It overhauls and modernizes the SEC’s “advertising rule” (Rule 206(4)-1) and “cash solicitation rule” (Rule 206(4)-3) and creates a single ...Read More