Frank Weigand and Justine Woods Publish “What Broker-Dealers Must Know Before Selling Bitcoin ETPs” in Law360
Date: 01/15/25
Cahill partner Frank Weigand and associate Justine Woods authored the article, “What Broker-Dealers Must Know Before Selling Bitcoin ETPs,” which was published by Law360.
The article explores the key regulatory requirements broker-dealers should address before recommending bitcoin exchange-traded products (ETPs), with an emphasis on compliance with FINRA suitability rules and the SEC’s Regulation Best Interest. The piece highlights the importance of assessing client suitability, understanding crypto-specific risks, and evaluating alternative options before making recommendations.
To read the article, click here or below.
What Broker-Dealers Must Know Before Selling Bitcoin ETPs.pdf (pdf | 564.20 KB )