Cryptocurrencies and the Regulatory Challenges Around Them

The complexity and global popularity of cryptocurrencies, or digital assets, has initiated cooperative efforts between the SEC and CFTC to understand and regulate these products. The agencies have jointly testified before Congress and displayed interest in developing meaningful regulations; both agencies have promised additional working groups to pursue joint regulations. On January 24, 2018, the… READ MORE

FINRA 2018 Renewal Calendar – It’s Time to Fund Your CRD Account

It’s that time again—Thanksgiving is around the corner, football season is in full swing and FINRA has published its 2018 Renewal Calendar.  Firms are required to renew their registrations annually through the Renewal Process, which begins in the fourth quarter of each year. The 2018 Renewal Program begins today November 13, 2017, when FINRA makes… READ MORE