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Category Archives: Investor
Pro-XRP Lawyer Says US Moving Backwards on Regulatory Clarity, Argues SEC Has Failed To Protect Investors – The Daily Hodl
SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations
The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. The…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#seclaw
Only Morons Use ChatGPT As a Substitute for Google
The World Wide Web turns 30
What? I had an ip address in 1989.
Timeline photos
This needs to be done
SEC Issues Largest-Ever Whistleblower Award
SEC Issues Largest-Ever Whistleblower Award
The Securities and Exchange Commission today announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. This is the highest award in the SEC’s…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finralawyer
People Imagine What The First Line Of Their Autobiography Would Be
SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs
SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs
The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. Schmitz for breach of…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#finraattorney
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SEC Adopts Amendments to Enhance Private Fund Reporting
SEC Adopts Amendments to Enhance Private Fund Reporting
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments are designed to enhance the ability of the Financial Stability…
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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
#securitieslawyer