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First Steps When Considering Digital Assets: Understanding the Regulatory Framework

Posted on November 10th, 2020 by Ed Wegener

It is a familiar issue. Innovation moves at lightning speed while regulators try to apply existing rules to products and technology never contemplated when the rules were enacted. By the time regulators succeed, the goalposts have moved. It is a frustrating but necessary dance. The industry wants to innovate, and regulators want to protect. This… READ MORE

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Ralph Magee Jr.,Senior Consultant

Ralph's expertise includes Consolidated Audit Trail (CAT) reporting, clearing conversions, trading, and retail brokerage, and trading and regulatory reporting of equity and fixed income securities.

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