Insights

FINRA Adopts Amendments Relating to the Expungement of Customer Dispute Information

As we previously reported, on April 12, 2023, the U.S. Securities and Exchange Commission (“SEC”) approved the...

The SEC Approves FINRA’s Expungement Rule Proposal

On April 12, 2023, the U.S. Securities and Exchange Commission (“SEC”) approved the Financial Industry Regulatory Authority’s...

Your Favorite Celebrity Has Been in the News Lately...But It's Not for Their Stardom

The rise of cryptocurrencies has led to an explosion in the number of initial coin offerings and...

SEC Issues Wells Notice to Coinbase, Largest Digital Asset Exchange in the U.S.

On Wednesday, March 22, 2023, the Securities and Exchange Commission (“SEC”) issued a Wells notice to Coinbase,...

SEC May Require Advisers and Funds to Draft Cybersecurity Policies and Disclose Incidents

Following the rise of cybercrime and on the coattails of the Federal Trade Commission (FTC), the Office...

After ‘The Year That Crypto Went Mainstream,’ What Follows?

In 2021, the crypto space saw major advances in mainstream recognition, as evidenced by, among other things,...

FINRA to Prioritize Cryptocurrency, Options Account Paperwork, and Expungement Reform in 2022

During a January 19, 2021, webinar with the SIFMA Compliance & Legal Society, FINRA president and CEO Robert...

Digital Assets: At the Intersection of Law, Regulation, Public Policy and Technological Innovation

Over the past year, digital assets have exploded on the mainstream and many believe that cryptocurrencies are...