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Robinhood Met With SEC 16 Times 'In Good Faith': CEO - Decrypt
Decrypt· 34 minutes agoRobinhood CEO Vlad Tenev revealed that the fintech firm had met with the U.S. Securities and...
SEC Claims Power Up Lending, Other Affiliated Firms Operated As Unregistered Securities Dealers |...
Crowdfund Insider· 2 days agoThe Securities and Exchange Commission (SEC) has filed charges against Curt Kramer and his...
T+1 Settlement Cycle: Implications for Investment Advisers | JD Supra
JD Supra· 6 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 ...
Trump Media's banned accountant had 20 B-D clients - InvestmentNews
InvestmentNews· 3 days agoBF Borgers CPA PC, which agreed in a settlement on Friday to be banned from the industry, had 20 ...
Zacks.com featured highlights include Option Care Health, Merchants, Teekay Tankers and GigaCloud
Zacks via Yahoo Finance· 3 hours agoContact...informational purposes only and nothing herein constitutes investment, legal, accounting...
Injunction approved for state officials regarding Memphis-based investment activity
Eyewitness News Memphis· 3 days agoThe group allegedly engaged in fraudulent activity and acted as unregistered broker-dealers and...
Zacks.com featured highlights include ResMed, Booz Allen Hamilton and Kontoor Brands
Zacks via Yahoo Finance· 2 hours agoContact...informational purposes only and nothing herein constitutes investment, legal, accounting...
LPL completes deal for Crown Capital’s $5B wealth business - InvestmentNews
InvestmentNews· 18 hours agoThe wealth management behemoth announced Wednesday that it has successfully completed its...
Zacks Industry Outlook Highlights FTI Consulting, Huron Consulting and CRA International
Zacks via Yahoo Finance· 2 hours agoMedia...informational purposes only and nothing herein constitutes investment, legal, accounting or...
What's The Deal With New SEC Rule 3a5-4 And California?
The National Law Review· 7 days agoSection 3(a)(5) of the Securities Exchange Act of 1934 defines the term “dealer” to mean “any person...
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