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Regulators Impose Extraordinary Fine Amounts in Recent Off-Channel Communications Enforcement...
JD Supra· 5 hours agoThe Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have, in two separate recent settled enforcement ...
SEC Marketing Rule Allows Client Testimonials. How Advisors Are Using Them.
Barrons.com· 4 hours agoBEST PRACTICES The Securities and Exchange Commission’s updated marketing rules for financial...
Do Kwon's Huge Fine Shows the SEC Is Ratcheting Up Penalties Against Crypto Firms
CoinDesk via Yahoo Finance· 4 hours agoSuggested fines the securities watchdog suggested for Terraform Labs and Ripple are out-of-line with...
Every Dollar A Fraudster Makes, A Financial Firm Loses $4.41
National Mortgage Professional· 11 hours agoOverall fraud increased at least 6% for 63% of financial firms within the past year, with digital...
3 High-Yielding Dividend Stocks That Can Help Bankroll Your Retirement Years
Motley Fool via Yahoo Finance· 10 hours agoEnbridge's high yield isn't cause for concern as the business is in fine shape. The company relies...
Trump Media CEO calls on GOP lawmakers for help in Wall Street fight
Politico via Yahoo Finance· 9 hours agoHe said "a thorough and expeditious investigation" should include collecting trading data from the...
More emissions-delete fines | CARB's new small-fleet electric truck finance effort
Overdrive· 5 hours agoThe owner of a New York dealership specializing in diesel pickups was fined $50,000 and sentenced to...
Daniel's Law amendments sparks a potential cottage industry
Politico· 14 hours agoSooner or later, a change is coming. Republicans, we must prepare to adapt, or wither as a party. … Endorsed candidates would receive on-the-ground support from the state party – infrastructure ...
Southfield bank founder Scott Seligman fined $400k, barred from industry
Detroit News· 5 days agoSterling Bancorp Inc. founder Scott Seligman has been hit with a $400,000 fine for allegedly...
Who let the dogs in? The dos and don'ts of dining with your pooch at New Mexico restaurants
Gannett via AOL· 13 hours ago“Restaurant owners face significant fines and penalties if non-service dogs are found on the...