SEC and FINRA Struggle with Digital Assets; Reg BI Disclosure Duties Explained; and How RIA’s Fail when Hiring Advisors with Black Marks: Regulatory Update for August 2019
By EsqSocial Corporation 02/08/19
For Broker-Dealers and Investment Advisers: Yes, Digital Assets are Securities, but no, We’re Not Ready to Let You Deal in Them Yet. The SEC and FINRA issued a Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities on July 8. On...
By: Hardin Compliance Consulting LLC