FINLAW: What should you do when you receive a Rule 8210 request from FINRA?
- By: admin
- Feb 19
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It frequently happens as follows: a registered representative or associated person of a broker-dealer (RR) receives a Rule 8210 letter from FINRA requiring that she respond to questions or worse, appear before FINRA to provide testimony under oath (OTR). Any hope that your departure from a broker-dealer that marked up Form U5 with unsavory details
Read MoreFINLAW: Peirce’s proposed safe harbor for three years of crypto (almost) regulatory immunity unlikely to become reality; Telegram Court proceeding presents opportunity for clarification of law
- By: admin
- Feb 10
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SEC Commissioner and Crypto Mom Hester Peirce completed her adoption of the crypto industry four days ago. Peirce single handedly proposed a safe harbor for crypto/digital asset offerings excusing all regulatory violations except fraud. The safe harbor proposal provides regulatory immunity except for fraud to crypto offerings for a period of three years to enable
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