Who Regulates What: A Guide for Long-Term Crypto Holders
A guide to U.S. financial regulators—SEC, FINRA, NASAA—and their free tools, with a checklist for due diligence.
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FINRA's Office of Hearing Officers: What It Means for Crypto Holders
A guide to FINRA's independent adjudicatory forum, its October 2025 docket portal, and how disciplinary and expedited proceedings work.
FINRA AML Template for Small Firms: A Due Diligence Guide
What FINRA's AML template for small firms covers, what the September 2020 and related updates changed, and how long-term holders should read it as a thesis check.
FINRA's NAC Appeals: How a Sanction Pauses on Review
A guide to how FINRA's National Adjudicatory Council reviews disciplinary and membership decisions, what it can change, and when a sanction is enforceable.
SIE Exam and FINRA Retake Waiting Periods: What Changes in 2027
FINRA will cut retake waiting periods to 15 days after the first and second failed attempts starting January 19, 2027. What the SIE is, and what remains unconfirmed.
FINRA Crypto and Blockchain Education Program: What It Covers
FINRA's program combines self-paced e-learning with an in-person course built with Georgetown's McDonough School of Business. Here is what it does and does not establish.
Recovering Investment Losses: Arbitration, Mediation and Enforcement Funds
A practical guide to FINRA arbitration and mediation, SEC and FINRA enforcement restitution, and the timeline investors should expect when seeking to recover losses.
How to Test Whether an Investment 'Risk' Claim Is Measurable
Separate uncertainty about returns from scare language, then ask what evidence would change the claim.
Due Diligence Questions When a Fund Claims Outsized Returns
Stress-test outsized-return claims with falsifiable questions on horizon, fees, and what would invalidate the thesis.
Due Diligence Questions When a Fund Claims Outsized Returns
A checklist for probing big return claims, built from SEC allegations that a fund touted 'up to 153%' returns while investors' money was lost.