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Erica Barrow on Financial Industry Regulatory Authority (FINRA) | JD Supra
JD Supra· 18 hours agoJD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra ...
Why Banks And Brokerage Firms May Be Ordering Workers To Return To The Office
Forbes· 14 hours agoWall Street brokerage firms, such as Barclays, Citigroup and HSBC, are requiring thousands of...
FINRA's New Home Office Rules Are Causing Headaches for BDs | ThinkAdvisor
ThinkAdvisor· 4 days agoThe Financial Industry Regulatory Authority’s new Residential Supervisory Location rule...be a real...
FINRA Fines Thrivent $325K Over Forged E-Signatures | ThinkAdvisor
ThinkAdvisor· 6 days agoThe Financial Industry Regulatory Authority has censured and fined Thrivent Investment Management $325,000 for failing ...
Three Big Banks Call Some Workers Back to the Office Full Time
Commercial Observer· 6 days agoThe decision follows plans from The Financial Industry Regulatory Authority (FINRA) to reinstate ...
Scilex reports suspected market manipulation to SEC By Investing.com
Investing.com· 4 days agoIn letters addressed to the U.S. Securities and Exchange Commission (SEC) and the Financial Industry...
Former Deutsche Bank Employee and Registered Broker Sentenced to 41 Months for Crypto Fraud
Cryptonews· 3 days agoFormer Deutsche Bank employee and FINRA registered broker, Rashawn Russell, aged 28, has been...
SEC bars former advisor, crypto trader - InvestmentNews
InvestmentNews· 3 days agoThe Securities and Exchange Commission on Thursday barred a former broker who told clients he was...
Bitcoin ETFs aren’t winning the hearts and minds of financial advisors
CNBC· 3 days agoA major thesis around bitcoin ETFs was that financial advisors needed regulated funds like them to...
Broker Dealer Regulatory Digest - May 2024 - 2 | JD Supra
JD Supra· 4 days agoOn May 13, 2024, SEC and FinCEN proposed a rule designed to make it more difficult for criminal actors to establish customer relationships with investment advisers. The rule would require certain ...