In this episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, for a timely discussion with David Adams, Member at Mintz, on the evolving world of crypto assets.
As crypto moves further into the mainstream, investment advisers and broker-dealers face both new opportunities and heightened regulatory scrutiny. The conversation covers how the SEC and FINRA currently view crypto—from memecoins and mining to stablecoins—and what to expect from upcoming SEC rulemaking over the next 6–12 months.
The episode also explores how advisers are using crypto today, whether as investment products, portfolio diversifiers, or tokenized assets, and examines the fiduciary-duty challenges that come with digital assets. On the compliance front, the discussion highlights how firms can prepare for examinations and enforcement, with special attention to custody - the top concern for many advisers.
Finally, the group looks ahead with practical guidance for advisers and broker-dealers considering crypto products, offering insights to help navigate this fast-changing landscape.
Past Episodes of this Series:
Corp Fin in Flux: What the SEC’s Latest Moves Mean for Issuers and Investors (8/13/25)
AI in the Investment Adviser Industry (7/16/25)
Harnessing AI: What Attorneys and Financial Industry Professionals Need to Know (6/18/25)
SEC Leadership, Crypto Policy, and FINRAs Regulatory Refresh (5/21/25)
New Leadership, New Priorities: Paul Atkins at the SEC (4/23/25)
How the New Administration and Congress Will Shape the SEC (3/26/25)
Reflecting on 30 years of the Private Securities Litigation Reform Act (2/26/25)
Insights on SEC Transition and Policy Priorities with Pete Driscoll (2/5/25)
Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
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