Targeted Sweep News Today

We report on FINRA’s targeted sweep of crypto-related communications, further proposed amendments to the expungement rule, and FINRA’s crack down on small-cap IPOs. FINRA launched an examination into cryptocurrency-related communications made by broker-dealers.

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...