Month: November 2020

Month: November 2020

New FINRA sanction guidelines encourage case review

The Financial Industry Regulatory Authority, known as FINRA, recently announced updates to its guidelines for issuing sanctions to investors accused of practice violations.  The updates took effect in October of 2020 and highlight the importance of discretion and...

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Trading laws may still apply to cryptocurrencies

Cryptocurrencies are still young, but they have grown exponentially since they first came on the market. People now even use cryptocurrencies as investment tools, especially when demand for specific digital currencies lead to spikes in value. Over the past few years,...

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