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SEC wants to ensure investment advisory industry is clear about AI
InvestmentNews· 26 minutes agoThe future of the investment and financial advisory services is going to include artificial intelligence, of that we can be certain. With a recent Broadridge study showing that 75% of financial ...
SEC’s Grewal shares views on ‘Five Principles of Effective Cooperation’
Compliance Week· 4 days agoThe director of the Enforcement Division at the Securities and Exchange Commission (SEC) spelled out...
Caught in the SEC’s Crosshairs? 5 Steps to Reduce Fines, From the Agency’s Top Cop.
Barrons.com· 4 days agoBut when the SEC’s top cop talks about “cooperation,” he has a specific definition in mind. Gurbir ...
Rep. Ro Khanna convenes 100 tech leaders as he warns of defections to Trump and the GOP
NBC News via Yahoo News· 3 days agoGolden State Warriors head coach Steve Kerr, former White House chief of staff Ron Klain and Rep....
SEC to reimburse US$1.8 mln after failed crypto lawsuit
Forkast News via Yahoo Finance· 5 days agoThe SEC will pay approximately US$1 million in attorney fees and US$750,000 in receiver fees,...
Court says Hackensack was justified firing officers after warrantless search
The Bergen Record via Yahoo News· 4 days agoBut an anonymous letter spurred the department to open an internal investigation into their conduct,...
Ethereum ETFs May Have Ended the SEC’s War on Crypto - Decrypt
Decrypt· 22 hours agoCarlo D’Angelo is a lawyer, former law professor, and crypto and NFT enthusiast. May’s approval of spot Ethereum ETFs by the United States Securities and Exchange Commission (SEC) was the chef ...
Private-Equity Giants Near Settlements With SEC Over Texting Violations
The Wall Street Journal· 6 days agoThe SEC in February imposed fines on another round of brokerages to settle claims their brokers or...
Saif Ali Khan Reunites With Siddharth Anand For Jewel Thief: The Red Sun Chapter
COMINGSOON.net via Yahoo News· 5 days agoSaif Ali Khan is all set to star in an exciting new project, Jewel Thief: The Red Sun Chapter. The...
Tech Stocks That Could Tumble: 3 Overvalued Names to Trim Before Earnings
InvestorPlace· 4 days agoIn certain market conditions, stocks may temporarily deviate from their intrinsic value, leading to overvaluation. To gauge stock value, various metrics are used, including P/E and EV/EBITDA ...