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8月29日
+ 关注

Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7148/securities-industry-commentator/

Bill Singer, Esq. Files Form TCR With SEC Seeking Investigation Of FINRA Election Interference (BrokeAndBroker.com Blog)

Financial Professionals Coalition, Ltd. JOIN TODAY -- FREE MEMBERSHIP

DOJ

Alleged Business Scammers Indicted After Nationwide Scheme to Defraud Investors, Including Elderly, of More than $30M (DOJ Release)

SEC

SEC Charges REIT Advisors and Their Principal for Improper Expense Reimbursements (SEC Release)

SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs (SEC Release)

NFTs & the SEC: Statement on Impact Theory, LLC by SEC Commissioner Hester M. Peirce and Commissioner Mark T. Uyeda

SEC Charges North Carolina Man in Fraudulent "Free-Riding" Scheme (SEC Release)

CFTC

FINRA

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