An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
2021073533701 Shane Nowosacki CRD 5064451 AWC vr (2023-1693786807160).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021073533701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Shane Nowosacki (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5064451
Pursuant to FINRA Rule 9216, Respondent Shane Nowosacki submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
22-01565(3).pdf
motion to vacate
Registration Disclosure In-Person Boot Camp
This bootcamp in New York, NY includes two days of comprehensive training on disclosure reporting topics, including determining reportability and responding to FINRA disclosure letters. It’s scheduled the day after the Registration Systems Foundation In-Person Training in New York.