Tag: FINRA

Securities Law and Digital Assets – Ideas From the SEC, FINRA Staffs

In recent months the key question regarding digital assets has been whether they are a security. The Commission furnished guidance on this by issuing a Section 21(a) report known as the DAO Report, discussed here. The approach of the agency

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FINRA Fines Morgan Stanley For Supervision Failures

The Commission has brought a series of enforcement actions against investment advisers centered on fees. In a number of instances the issue was whether the clients were put into programs where the fees charged were the most advantageous for the

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