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Broker Dealer Regulatory Digest - April 2024 - 2 | JD Supra
JD Supra· 1 day agoThe rule, approved by the SEC in February, broadens the definition of a dealer to include firms with trading activities that provide liquidity. On April 25, 2024, CFTC announced ...
T+1 Settlement Cycle: Implications for Investment Advisers | JD Supra
JD Supra· 5 days agoAs discussed below, the amendments and new rule will have implications for many investment advisers. Advisers should therefore review their settlement practices, compliance policies and procedures ...
SEC.gov | Tri-Bridge Ventures, LLC and John Francis Forsythe, III
U.S. Securities and Exchange Commission· 10 hours agoAs part of their business, Forsythe and Tri-Bridge allegedly engaged in convertible note financing and sold billions of shares of penny stock converted from such notes, generating millions of ...
SEC Crypto Crackdown: Every Company That Is Being Investigated - Decrypt
Decrypt· 13 hours agoLast week, previously redacted portions of a lawsuit filed by Ethereum software firm Consensys...
Troutman Lures Another Regulatory Partner From Davis Wright, Which Hires Back Lawyer From Retirement...
Law.com· 12 hours agoTroutman Pepper Hamilton Sanders, Davis Wright Tremaine and Nixon Peabody have all made lateral...
Top Carta exec David Kim has left the company a few months after the startup quit the secondary...
Fortune via Yahoo Finance· 5 days agoThe head of Carta’s troubled broker-dealer business has left the company, months after the group was...
Robinhood May Face SEC Enforcement Over Its US Crypto Business
Investopedia· 2 days agoRobinhood Markets (HOOD) said it may face enforcement action from Securities and Exchange Commission...
The Perils of Finder’s Fees (Revisited) | JD Supra
JD Supra· 5 days agoWay back in 2017, one of our earliest posts discussed the legal and financial risks to both the issuer and the finder if an issuer pays a finder’s fee in connection with a sale</ ...
Coinbase Faces New Lawsuit Alleging Investor Deception in Digital Asset Sales - EconoTimes
EconoTimes· 3 days agoCoinbase, the leading US cryptocurrency exchange, is embroiled in a major legal battle. It faces a...
Zacks.com featured highlights include Lakeland Industries, PBF Energy, PagSeguro, Barrett Business...
Zacks via Yahoo Finance· 17 hours agoContact...informational purposes only and nothing herein constitutes investment, legal, accounting...