Regulatory Notice 20-23
For the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue to keep their Risk Monitoring Analyst abreast of their activities related to digital assets until July 31, 2021.
Questions concerning this Notice may be directed to:
- Kosha Dalal, Vice President & Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6903 or by email;
- Racquel Russell, Associate General Counsel, OGC, at (202) 728-8363 or by email; or
- Cara Bain, Assistant General Counsel, OGC, at (202) 728-8852 or by email.