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What is FINRA and what does it do?
Bankrate via AOL· 12 hours agoBottom line FINRA is a key player in the financial regulatory space. Brokers and brokerage firms must be FINRA registered. It has a broad range of...
5th Circuit Strikes Down SEC's Private Fund Advisers Rule | National Law Journal
Law.com· 16 hours agoA federal appeals court Wednesday struck down the U.S. Securities and Exchange Commission’s...
Camber Expands Its Retail Investor Reach
Digital Journal· 21 hours agoBy providing its ~20 million registered users with direct access to corporate updates, feeds, analyses, charts & live presentations, and combining it with the ability to buy ...
Commerce Resources Corp. Announces Private Placement of Flow-Through Units to Raise Gross Proceeds...
Digital Journal· 2 hours agoVANCOUVER, BC / ACCESSWIRE / June 6, 2024 / Commerce Resources Corp. (TSXV:CCE)(FSE:D7H0) (the "Company" or "Commerce") is pleased to announce a non-brokered private placement offering of up ...
A Guide to Whistleblowing Under the Sarbanes-Oxley Act (SOX) | JD Supra
JD Supra· 2 days agoIt was passed in the aftermath of several huge corporate scandals, chief among them the accounting fraud incident at Enron. It supplements other existing securities laws for publicly traded ...
Piqua sex offender sentenced on 30 new felonies from child sex act material
Dayton Daily News· 3 days agoA registered sex offender convicted of 30 felony counts of pandering sexually oriented matter...
Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing...
JD Supra· 2 days agoNew Rule 14Ad-1 under the Exchange Act – which becomes effective on July 1, 2024 – will require institutional investment managers subject to the reporting ...
Small Business - Salisbury Post | Salisbury Post
The Salisbury Post· 2 hours agoSan Francisco area-based Life360, Inc. ("Life360" or the "Company") today announced the pricing of its initial public offering in the U.S. (the "Offering") of 5,750,000 shares of its common ...
Sturgill Simpson Announces New Album, Tour; Says He Will Only Record Under the Name ‘Johnny Blue...
Variety· 17 hours agoSturgill Simpson announced a summer album and 28-date fall tour. The album will be released under...
SEC, FinCEN Propose CIP Rules for Investment Advisers | JD Supra
JD Supra· 1 day agoThe Securities and Exchange Commission (SEC) and U.S. Department of the Treasury’s Financial...) jointly published a notice of proposed rulemaking (Proposed Rule or Rule) ...
