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Reminder – T-1 Settlement Starts Today, Tuesday, May 28, 2024
The National Law Review· 4 days agoStarting 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 agoThe 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 agoThe 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
Targeted ads are a problem—here’s why
TechRadar· 13 hours agoKeep reading as I dig into what targeted ads are, how they work, why data brokers are dodgy, and how security software like the best VPN services can help ...
Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues | JD Supra
JD Supra· 4 days agoFund 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 ...
FINRA dings Bank of America unit over notification lapses
Compliance Week· 3 days agoBank of America Securities, a broker-dealer based in New York City, filed approximately 195...
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 AOL· 5 hours agoGarry 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 agoA 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 agoFor the second time this year, the 11th U.S. Circuit Court of Appeals has accepted the U.S....
