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Search results

- Reminder – T-1 Settlement Starts Today, Tuesday, May 28, 2024
  The National Law Review· 4 days ago
  Starting today, Tuesday, May 28, 2024, the amendments to Securities Exchange Act Rule 15c6-1 take...
- SEC bars former advisor, crypto trader - InvestmentNews
  InvestmentNews· 1 day ago
  The Securities and Exchange Commission on Thursday barred a former broker who told clients he was...
- SEC Shortening of Securities Transaction Settlement Cycle to Take Effect | JD Supra
  JD Supra· 3 days ago
  The Commission’s goal through the amendments is to promote investor protection, reduce risk and increase operational and capital efficiency. As amended, Rule 15c6-1(a) now prohibits
- FINRA dings Bank of America unit over notification lapses
  Compliance Week· 3 days ago
  Bank of America Securities, a broker-dealer based in New York City, filed approximately 195...
- Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues | JD Supra
  JD Supra· 4 days ago
  Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. Many sponsors and advisors are unaware that these activities can ...
- Citadel Securities Taps Goldman’s Esposito as New President
  Bloomberg via Yahoo Finance· 2 days ago
  (Bloomberg) -- Citadel Securities tapped Jim Esposito, who was one of Goldman Sachs Group Inc.’s...
- Haiti’s new prime minister, Garry Conille, arrives in his country on flight from Miami
  Miami Herald via Yahoo News· 3 hours ago
  Garry Conille, the longtime United Nations civil servant tapped to lead Haiti’s latest political...
- After ‘gross misuse of power,’ prosecutors must pay $1.8M to Utah crypto brokers accused of fraud
  The Salt Lake Tribune· 1 day ago
  A judge has dismissed the Securities and Exchange Commission’s fraud case against crypto brokers...
- US appeals court accepts broad definition of securities ‘dealer’ in microcap fund case
  Reuters· 2 days ago
  For the second time this year, the 11th U.S. Circuit Court of Appeals has accepted the U.S....
- How to choose a mortgage lender: 6 tips
  Bankrate via Yahoo Finance· 22 hours ago
  Don’t hesitate to reach out to your loan officer or broker if something’s unclear, or to make sure you’re not comparing apples and oranges when looking...