In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
The CFTC advised the public to avoid unregistered brokers and advisers promoting their services on social media platforms.
U.S. Senate Committee on Agriculture, Nutrition and Forestry Chair Pat Roberts (R-KS) and Ranking Member Debbie Stabenow (D-MI) requested information from the CFTC on oversight of cryptocurrency futures and options.
The North American Securities Administrators Association ("NASAA") reminded investors to exercise caution before investing in "three products recently making news: marijuana-related investments, binary options and digital currency." NASAA President and Maine Securities Administrator Judith Shaw stated: "At first glance, these products appear to have no real connection to one another. But what they all have in common is their recent emergence as three investments that both sellers and buyers hope will become the 'next big thing.' Before you consider investing, make sure you understand what