Join Ethan L. Silver, partner in Lowenstein Sandler's Investment Management Group, and Owen Rapaport, Co-Founder & CEO of Aer Compliance, for a fireside chat analyzing the implications of FINRA and the SEC's crackdown on crypto for broker-dealers. Silver and Rapaport will discuss:
- The ramifications of FINRA disciplinary actions for crypto related outside business activities and private securities transactions
- Emerging best-practices being adopted by leading broker-dealers in crypto monitoring
- What the SEC’s actions against exchanges signal for future policy
- How to meet the 2024 FINRA Annual Regulatory Oversight Report expectations on crypto OBAs and PSTs
Speakers:
- Ethan L. Silver, Partner; Chair, Broker-Dealer Practice; Chair, FinTech; Co-chair, Lowenstein Crypto, Lowenstein Sandler LLP
- Owen Rapaport, Co-Founder & CEO, Aer Compliance
Time: 11 a.m.-12:15 p.m. ET
Location: Lowenstein Sandler, 1251 Avenue of the Americas, New York, NY 10020
