Month: October 2017
In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about emerging ponzi schemes utilizing virtual currencies such as Bitcoin to raise money from unsuspecting investors. Also, in SEC v. Shavers, the SEC noted in its press release its complaint filing against a […]Read Post
In an Investor Bulletin entitled “Initial Coin Offerings” the United States Securities and Exchange Commission warned investors about the pitfalls of ICO’s (Initial Coin Offerings) also known as token sales to raise capital. The bulletin cautions investors to be wary of promises of higher returns which can be used to improperly induce investors to part with […]Read Post
At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms regarding the use of emerging technology in compliance and operations. The session included industry experts and FINRA staff in a panel addressing how emerging technologies are being utilized to […]Read Post
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