Tag: Broker-dealer

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FINRA and SEC Issue Reports and Priorities for 2024 - The National Law Review

Added to Collection on: 2024-02-05 21:50:25

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United States securities law
Financial markets
Brokerage firms
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission
Securities Exchange Act
United States Securities Regulation
Broker-dealer
Market data
Selling away
CITADEL SECURITIES

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SEC approves rule to protect bond investors — but critics say DeFi will pay the price

Added to Collection on: 2024-02-06 22:20:26

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Financial markets
Stock market
Corporate crime
U.S. Securities and Exchange Commission
Decentralized finance
Gary Gensler
Cryptocurrency
Broker-dealer
Hedge fund
Hester Peirce
Security
United States Securities Regulation

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SEC forces hedge funds, high-frequency traders to register in latest showdown with industry

Added to Collection on: 2024-02-06 22:55:42

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Financial markets
U.S. Securities and Exchange Commission
Hedge fund
Security
Dow Jones & Company
Broker-dealer
High-frequency trading
Gary Gensler
Investment Company Act

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U.S. Bank, KeyBank, Huntington tagged in $81M round of SEC penalties | Banking Dive

Added to Collection on: 2024-02-09 18:16:44

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Primary dealers
Subprime mortgage crisis
JPMorgan Chase
Bank of America
Goldman Sachs
Morgan Stanley
Broker-dealer
U.S. Securities and Exchange Commission
Deutsche Bank
Citigroup
Barclays
WhatsApp

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Wall Street firms hit with $81M in fines in latest WhatsApp, texting crackdown

Added to Collection on: 2024-02-10 15:49:51

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Primary dealers
Subprime mortgage crisis
House of Morgan
Brokerage firms
U.S. Securities and Exchange Commission
Goldman Sachs
JPMorgan Chase
Broker-dealer
Ernst & Young
Mutual fund scandal

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SEC Rules: Buying & selling securities as a part of a regular business - RSM US

Added to Collection on: 2024-02-15 20:03:31

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Financial markets
73rd United States Congress
U.S. Securities and Exchange Commission
United States securities law
Registered Investment Adviser
Securities Exchange Act
Securities market
Security
Investment Company Act
Financial adviser
Broker-dealer
Regulation S-K

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FINRA Levies $1.6 Million in Fine on Morgan Stanley for Supervisory Failures

Added to Collection on: 2024-02-15 18:09:48

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United States securities law
Financial Industry Regulatory Authority
Financial markets
Municipal Securities Rulemaking Board
Morgan Stanley
Broker-dealer
Security
Securities Exchange Act
MSRB
Selling away
MORGAN STANLEY SMITH BARNEY LLC
The Financial Industry Regulatory Authority

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Average Expense Ratio of TSP Funds Sees Slight Decrease

Added to Collection on: 2024-02-15 16:12:17

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United States securities law
Brokerage firms
Financial adviser
Securities Investor Protection Corporation
Financial Industry Regulatory Authority
Broker-dealer
U.S. Securities and Exchange Commission
Raymond James Financial
Security
RAYMOND JAMES FINANCIAL SERVICES, INC
Raymond James Financial Services Advisors Inc.
United States

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The Catch-22 of U.S. Crypto Regulation — TradingView News

Added to Collection on: 2024-03-01 21:48:01

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Financial markets
U.S. Securities and Exchange Commission
FinTech
Gary Gensler
Coinbase
Binance
Security
Broker-dealer
Joseph Heller

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SEC Creates Special Purpose Broker Dealer for Custody Digital Ass

Added to Collection on: 2024-03-12 06:08:48

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Independent agencies of the United States government
Financial markets
Commodity Futures Trading Commission
U.S. Securities and Exchange Commission
Futures contract
United States Securities Regulation
Derivative
Broker-dealer
Coinbase
Commodity Futures Modernization Act
Securities market participants

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