Tag: broker-dealer
SubscribeFour New SEC Examination Priorities to Spice Up 2023!
If you’re familiar with annual previews from government agencies, you know they’re about as exciting as an instruction manual. They generally follow a boilerplate format that includes familiar discussions of how their plans for the coming y...
Read More‘Deterrence’ is the SEC’s New Buzzword
Securities and Exchange Commission Chair Gary Gensler has made enforcement a well-publicized priority of his tenure. A new point of emphasis, deterrence, has apparently spun off from those efforts to show the business world the financial co...
Read MoreLameStop: SEC Issues Bland Analysis of Meme Stock Fiasco
Economic historians will look back decades from now and marvel at the events of January 2021. As a global pandemic raged and the strangest presidential administration in the country’s history ended, fluctuations in the stock price of a flai...
Read MoreNottingham’s New Sheriff Hunts Robinhood
It was a summer of highs and lows for Robinhood Markets, the stock-trading app of armchair investors. The online brokerage celebrated going public in July. In fitting fashion, it offered a third of the shares in its initial public offering...
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