As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
What: The SEC announced charges against 12 firms (comprising broker-dealers, investment advisers, and a dual-registered […]
What: The SEC announced charges against 12 municipal advisors for failures by the firms and […]
KTVU's Alex Savidge spoke with Mitch Avnet, Managing Partner at Compliance Risk Concepts, about Coinbase […]
Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether […]
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As detailed more fully in Regulatory Notice 23-19, FINRA has adopted a short-form membership application […]