Is It Outside Business, Personal Trading, or Insider Trading? In the absence of long-term regulatory solutions to the whirlwind that is digital or cryptocurrency, we have been provided with guidance on how to apply current regulations to this evolving market.  The regulators are making it clear that industry professionals will be held accountable for actions […]

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Effective December 15, 2016, a revision of FINRA Rule 5210 (Publication of Transactions and Quotations) goes into effect, further defining prohibited actions related to disruptive quoting and trading.  FINRA Rule 5210 was designed to prevent the manipulative or fraudulent publication of any quotation or execution of trades unless the member firm believes the quote or […]

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