FINRA asked that member firms notify their risk-monitoring analysts if the firms currently engage in, or intend to engage in, any activities involving digital assets.
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In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2021.
FINRA encouraged firms to continue communications with their Risk Monitoring Analyst on firm activities related to digital assets.
In its annual Risk Monitoring and Examination Priorities letter, FINRA identified areas of focus for 2020.
FINRA reminded broker-dealers to notify their Regulatory Coordinators in writing if they, or their associated persons or affiliates, are currently engaging in or intend to engage in activities related to cryptocurrencies, virtual coins and tokens.