Panel Member for Regulate U.S.; Remaining Competitive with Other Jurisdictions Requires Proper Regulation. The Panel explored the regulatory landscape in the United States and the need for proper guidelines for the country to remain competitive with others in the digital asset landscape.

Speaker on Panel, “The Latest in Private Placement Sales Oversight,” at FINRA’s premier annual conference in Washington, DC, covering compliance and regulatory topics for practitioners, peers and regulators.

Speaker on recent case developments in cryptocurrency focusing on the SEC enforcement litigation in the U.S. District Court, Southern District of New York in the Ripple Labs Inc., Terra Form Labs Pte. Ltd., and Coinbase, Inc. matters, among others. Discussion of Howey analysis in these actions and the legal arguments being made by the SEC

Speaker, together with other attorneys including representatives from the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA). Participated on the following Panels : 1. Offerings to Unaccredited Investors; 2. State Securities Law and NASAA Regulatory Priorities, Enforcement Initiatives and Experience in the States;

In the AWC entitled Charles V. Malico, Respondent, Matter No. 2021069405501 resolved at the end of last year, FINRA settled its first case involving a violation of Regulation Best Interest (Reg BI). The matter resembled a traditional suitability matter where Mr. Malico, without admitting or denying, accepted and consented to findings that he willfully violated