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11月28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/7187/securities-industry-commentator/

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Oral Argument At SCOTUS On SEC V. Jarkesy (BrokeAndBroker.com Blog)

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

DOJ

SEC

SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations (SEC Release)

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Statements by SEC Chair and Commissioners on Rule 192

CFTC

FINRA

FINRA Fines and Suspends Rep for Electronic Signatures In the Matter of Jacob Pae, Respondent (FINRA AWC )

FINRA Fines and Suspends Rep for Inaccurate Customer Information In the Matter of Ronald Morse, Respondent (FINRA AWC)

FINRA Fines and Suspends Rep for Changed Rep Codes In the Matter of Michael MacLean, Respondent?(FINRA AWC)

FINRA Censures and Fines TD Private Client Wealth LLC for Supervision of Correspondence and Communications In the Matter of TD Private Client Wealth LLC, Respondent (FINRA AWC)

FINRA Censures and Fines Cowen for NMS Reports and Supervision In the Matter of ?Cowen and Company(in its own right and as successor-in-interest to?Cowen Prime Services LLC), Respondent? (FINRA AWC)

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