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ARTICLE · 06 DECEMBER 2022

FINRA To Examine Broker-Dealer Crypto Communications

Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
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Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

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The Financial Industry Regulatory Authority ("FINRA") recently announced that it is conducting targeted sweeps of broker-dealers concerning their communications about "crypto assets."

United StatesTechnology
Cory S. Flashner
Cory S. Flashner
Edmund Daley
Edmund Daley
Christopher E. D'Aliso
Christopher E. D'Aliso
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The Financial Industry Regulatory Authority ("FINRA") recently announced that it is conducting targeted sweeps of broker-dealers concerning their communications about "crypto assets." The examination will ask selected firms to provide all retail communications that were distributed or made available by the firm or its affiliates between July 1, 2022 and September 30, 2022 concerning "crypto assets," or a service involving the transaction or holding of a "crypto asset." Notably, the term "crypto asset" appears to target a broader category of digital assets than what the SEC has identified as "crypto asset securities."

The scope of the sweep is broad, and is intended to capture written and electronic broker-dealer communications that relate to a wide variety of digital assets, including virtual coins and tokens. Whether this includes non-fungible tokens ("NFTs") is unclear, as the announcement does not specify. Notably, the announcement states that video, social

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