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FINRA Launches Targeted Exam on Firms Crypto Communications

FINRA announced a targeted exam looking into firms retail communications concerning crypto assets and services. The notice comes a week after the FTX collapse.

Sam bankmanMatt houganRay pellecchiaRic edelmanDigital assets council of financial professionalsAdvertising regulation departmentFinancial industry regulatory authoritySam bankman friedRegulation departmentDigital assets councilFinancial professionalsBitwise asset management

FINRA bars broker Keith Ashley charged with murder

An attorney for Keith Todd Ashley said he plans to appeal his fraud conviction and plead not guilty to capital homicide.

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GOP lawmakers warn FINRA against heightened complex product regulation – InsuranceNewsNet

GOP lawmakers warn FINRA against heightened complex product regulation – InsuranceNewsNet
insurancenewsnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from insurancenewsnet.com Daily Mail and Mail on Sunday newspapers.

Doug baileyRobertw cookRay pellecchiaExchange commissionHouse financial services committeeFinancial industry regulatory authorityRegulatory notice

FINRA ex-board member Kovack settles enforcement cases

Midsize wealth manager Kovack Securities and its CEO settled two matters last month dating to his time as a member of FINRA's Board of Governors.

New yorkUnited statesBill singerBrianj kovackBernie madoffRay pellecchiaNational association of securities dealersCommission division of examinationsKovack financialLauderdale based kovack financialKovack securitiesKovack advisorsNational associationSecurities dealersFinancial planningRegulation and compliance

FINRA Promotes Nathaniel Stankard to Executive Vice President and Chief of Staff to the CEO for Regulatory Operations

FINRA Promotes Nathaniel Stankard to Executive Vice President and Chief of Staff to the CEO for Regulatory Operations
streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.

United statesMary jo whiteRobert cookRay pellecchiaMorgan stanleyHarvard law schoolDivision of tradingOberlin collegeExchange commissionCleary gottlieb steen hamiltonTransparency servicesGlobal sustainable finance groupNathaniel stankardExecutive vice presidentRegulatory operationsBusiness wire