FINRA Examines Fintech Including Blockchain
On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR...
Home Archive by Category "FINRA"
The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report
The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Fo...
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Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space
I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl...
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OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules
January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...
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The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
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OTC Markets Group Establishes A Stock Promotion Policy
As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion poli...
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FINRA Proposes Expansion Of The OTCBB
In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...
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FINRA Issues New Guidance On Communications With The Public, Including Social Media
In April 2017 FINRA issued Regulatory Notice 17-18 providing additional guidance on the use of social media and digital communicatio...
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An Introduction To Distributed Ledger Technology (Blockchain Technology)
On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...
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SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
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