5 12, 2022

Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties

By |2022-12-05T11:23:08-05:00December 5, 2022|Broker-Dealer, Communication, Communications, Rules and Regulations, SEC|

On September 22, 2022, the Securities and Exchange Commission announced [...]

30 11, 2022

FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms

By |2022-11-30T15:15:33-05:00November 30, 2022|Broker-Dealer, Continuing Membership Application, Digital Assets, FINRA, Private Placements, SEC|

This is a summary of a recent FINRA podcast on Membership Application Program.

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