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What is FINRA and what does it do?
Bankrate via AOL· 3 days 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...
Russia orders Frenchman held in 'foreign agent' case
AFP via Yahoo News· 13 hours agoA Moscow court on Friday ordered a French citizen accused of gathering Russian military information to be held in pre-trial detention, in the latest case...
A Guide to Whistleblowing Under the Sarbanes-Oxley Act (SOX) | JD Supra
JD Supra· 4 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 ...
Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing...
JD Supra· 4 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 ...
Private Funds Rules Vacated | JD Supra
JD Supra· 1 day agoOn June 5, 2024, the United States Court of Appeals for the Fifth Circuit (the “Court”) vacated the entire set of new Investment Advisers Act of 1940 (the “Advisers
Camber Expands Its Retail Investor Reach
Digital Journal· 3 days 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 ...
Flex LNG - Ex Date Q1 2024
FOX 16 Little Rock· 1 day agoThe shares in Flex LNG Ltd. (Ticker: FLNG) traded on Oslo Stock Exchange ("OSE") and registered with Euronext Securities Oslo will trade ex dividend of...
Robinhood Agrees To Buy Bitstamp For $200 Million, Signaling Intent To Challenge Binance, Coinbase
Inside Bitcoins· 20 hours agoRobinhood Markets agreed to buy crypto exchange Bitstamp for about $200 million in cash as the...
5th Circuit Strikes Down SEC's Private Fund Advisers Rule | National Law Journal
Law.com· 3 days agoA federal appeals court Wednesday struck down the U.S. Securities and Exchange Commission’s...
Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety | JD Supra
JD Supra· 2 days ago... for the Fifth Circuit (the “Fifth Circuit”) vacated the Securities and Exchange Commission’s (the “SEC”) final rule1 regarding the regulation of private fund advisers (the “Final Rule...the SEC relied on its antifraud rulemaking authority found in section 206(4) of the Investment Advisers Act of...
