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Davison-Lawblog

Legal and Strategic Advice For Broker-Dealers, Investment Advisers and Investors

Tag: FINRA

Written by Sharon M. DavisonJuly 10, 2018July 10, 2018

FINRA Request Disclosure on Digital Assets Activity

While we were off enjoying the 4th of July in the middle of the week, FINRA was issuing Regulatory Notice 18-20—Digital Assets. It is short and seemingly rather innocent. But read it closely. A few weeks ago some FINRA members were contacted by their Regulatory Coordinators and asked if they were doing anything with digital […]

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