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4月19日
+ 关注

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6994/securities-industry-commentator/

Time to Call False Start Penalty Against SEC Reg ATS Rulemaking (BrokeAndBroker.com Blog)

2Cir Remands to EDNY Disparate Sentence In Boiler Room Pumping (BrokeAndBroker.com Blog)

Financial Professionals Coalition, Ltd.

JOIN TODAY -- FREE MEMBERSHIP

Audio and Transcript of April 17, 2023, SCOTUS Oral Argument:?Slack Technologies, Inc. v. Pirani

Former broker accused of duping friends, classmates and colleagues out of $1M in crypto-fueled fraud (Financial Planning by Justin L. Mack)

Texas Securities Board Enters Final Order Against Crypto Firm Nexo Capital, Inc. (TSSB Release)

Committee Republicans Blast Chair Gensler’s Misrepresentation of Non-Existent Digital Asset Trading Platform Registration Process / Gensler continues to try to force trading platforms to "come in and register," while failing to provide a workable process

DOJ RELEASES

Florida Woman Pleads Guilty To Defrauding Holocaust Survivor Of $2.8 Million In Connection With Romance Scam (DOJ Release)

SEC RELEASES

SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service (SEC Release)

SEC Settles Offering Fraud Case Against Convicted Fraudster and His Companies, and Returns Funds to Certain Investors Harmed by the Fraud (SEC Release)

领英推荐

SEC Settles Multi-Tiered Insider Trading Case Against Convicted Fraudster, His Friend and Tippee, and a Former IIIumina Accountant (SEC Release)

SEC Charges South Florida Broker with Misrepresenting Securities Registrations to African-American Investors of the Christian Faith (SEC Release)

SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency / Bittrex Global GmbH also charged for failing to register as a national securities exchange (SEC Release)

SEC Obtains More Than $5 Million in Final Judgments Against Two Defendants in IIIicit Trading Scheme (SEC Release)

April 18, 2023, Testimony of Chair Gary Gensler before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler

Strengthening Our Partnership with States and Other Jurisdictions to Protect Investors and Promote Market Integrity by SEC Commissioner Jaime Lizárraga (NASAA 2023 Public Policy Symposium Keynote Remarks)

CFTC RELEASES

FINRA RELEASES?

FINRA Fines and Suspends Rep For Removing Customer Information

In the Matter of Randell J. Ogden, Respondent (FINRA AWC)

FINRA Censure and Fines Regal Securities for Supervision

In the Matter of?Regal Securities, Inc., Respondent (FINRA AWC)

2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes (FINRA UnScripted Podcast)

要查看或添加评论，请登录

Bill Singer的更多文章

社区洞察

其他会员也浏览了