Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer

Bill Singer Bill Singer

Bill Singer

A critic of the inept and incompetent, and an advocate for economic and political sanity. It's a lonely journey but I walk it. Wall Street legal, regulatory, and compliance veteran since 1982.

发布日期: 2023年2月22日
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Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6897/securities-industry-commentator/?

Financial Professionals Coalition, Ltd. Offers Historic Clearinghouse of Resources / Industry’s Disenfranchised Men and Women Now Have Solutions (Financial Professionals Coalition Press Release)

Industry vets form organization to stand up for individual advisors (Financial Planning by Dan Shaw)

DOJ RELEASES

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SEC RELEASES

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SEC Obtains Final Judgments Against Two Participants in International Microcap Fraud Schemes (SEC Release)

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SEC Charges Investment Adviser Hite Hedge Asset Management LLC with Violating a Trading Rule (SEC Release)

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SEC Charges The Church of Jesus Christ of Latter-day Saints and Its Investment Management Company for Disclosure Failures and Misstated Filings (SEC Release)

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SEC Charges Investment Adviser Candlestick Capital Management LP with Violating a Trading Rule (SEC Release)

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CFTC RELEASES

CFTC Denies Whistleblower Awards to Five Claimants?

Order Determining Whistleblower Award Claims

CFTC Denies Whistleblower Award to Claimant

Order Determining Whistleblower Award Claims?

CFTC Approves Whistleblower Award to Claimant 1 and Denies Award to Claimants 2, 3, and 4.

Order Determining Whistleblower Award Claims?

FINRA RELEASES

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FINRA Fines and Suspends Rep For Working as Tax Preparer

In the Matter of Jeremy Jefferson, Respondent (FINRA AWC)

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Introducing REMA: Thinking Differently About Rulemaking, Decision-Making, Innovation and More (FINRA Unscripted Podcast)

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