FINRA Withdraws Its Proposed Expungement Rule Changes
FINRA proposed a change to its expungement rules in the Fall of 2020, seeking to alter certain aspects of the…
Read MoreMonth: August 2021
Change to Definition of “Qualified Client” Takes Effect
Investor sophistication standards are critical for hedge funds, private equity funds and other advisory firms that use performance-based compensation agreements.…
Read MoreSEC’s Order and Dissent Highlights Uncertain Regulatory Environment for Digital Assets
In a recent administrative proceeding before the Securities and Exchange Commission, crypto firm Blotics, Ltd., also known as Coinschedule.com, drew…
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