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FinReg + Policy Watch
February 7, 2023

FINRA Exam Targets Broker Crypto Asset Communications

Our recent client alert discusses FINRA’s targeted exams of its members focused on certain retail communications concerning “crypto asset” products and services between July 1, 2022 and September 30, 2022.

The post FINRA Exam Targets Broker Crypto Asset Communications appeared first on FinReg & Policy Watch.