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Like Leveraged ETFs? SEC Panel Wants Brokerage Firms to Vet Who Can Trade Such ‘Complex Products.’
Barrons.com· 6 days agoThe commission’s Investor Advisory Committee wants regulators to first come up with a definition for...
Norton Rose Recuits 12-lawyer Team From Bryan Cave
LawFuel· 1 hour agoThe legal team includes four partners, being Jeff Kalinowski, Eric Martin and Jeff Ziesman in St. Louis and Laura Perlov in Denver and they are joined by two senior counsel, two counsel and four associates.
Troutman Pepper Weekly Consumer Financial Services Newsletter - June 2024 # 2 | JD Supra
JD Supra· 2 days agoOn June 5, the Securities and Exchange Commission (SEC) has commenced its biennial collection of Diversity Self-Assessment Submissions from regulated entities. On June 5, the SEC’s& ...
You Can Earn 5% APY With Robinhood Gold – Here’s How to Get Started
Billboard via Yahoo Finance· 6 days agoThis isn’t tax advice. Consult a tax professional to understand your unique situation. For more...
Report Slams Reg A+ Issuers That Have Raised Funds, Delivered Little For Investors | Crowdfund...
Crowdfund Insider· 3 days agoReg A is joined by Reg CF and Reg D 506c—each of these exemptions has become a path for private...
GlobexUS (Horizon) Invites Retail Investors to Own a Piece of the Proprietary Trading and Exchange...
Digital Journal· 7 days agoNew York, New York--(Newsfile Corp. - June 6, 2024) - GlobexUS Holdings, Corp. (Horizon), the pioneering force powering Upstream, a cutting-edge MERJ Exchange market and global stock trading ...
Quarter Launch Fund Commences a $147.25 Million Reg D Capital Raise Using the tZERO Securities...
Morningstar· 7 days agoQuarter is designed to enable home ownership for those who may not be able to access traditional mortgage financing given the high cost of these loans, including millions ...
Recent Pay-to-Play Case Is Cautionary Tale for Advisors and Political Contributions
WealthManagement.com· 7 days agoSEC order noted that a covered associate of the firm made a $4,000 campaign contribution to a...
Alto Capital Announces New SPV Fund Into Cohesys, an Early Stage Medtech Startup in the Orthopedic...
Digital Journal· 2 days agoNASHVILLE, TN / ACCESSWIRE / June 11, 2024 / Alto, an alternative asset platform that enables individuals to invest in alternative assets using both retirement and non-retirement funds, has ...
Anchorage Digital Not Impacted By SAB 121 But Strongly Supports Its Repeal Or Withdrawal | Crowdfund...
Crowdfund Insider· 7 days agoAnchorage Digital Bank N.A. is the only federally-chartered bank not impacted by Staff Accounting...