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Lost Something. Looking For Keys Or Things
Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...
"This disproportionately large penalty for failure to report in a timely manner ... suggests to us that the Commission is more concerned with generating large ...
"The crypto industry’s record of failures, frauds, and bankruptcies is not because we don't have rules or because the rules are unclear. It’s because many ...
"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"
cheerful and happy young woman in her car showing her new driving license
Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...
Man holding big stack of US paper currency by safety deposit boxes. Focus on money
You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
Mature man looking at a digital tablet that a colleague is showing at work
This is SEC 2866 that covers rules around providing information during an examination
Wall Street Brookfield Asset Management listing
Gain ideas for your personal trading P&Ps by eyeing this one
SEC Chairman Gary Gensler
"The first trend I’d note is the sheer growth over many years of the private funds field. In aggregate, they grew more than 10 percent ...
"My reservations stem from the breadth of the rule and the likelihood that it will spawn more consumer notices than are helpful"
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