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P&Ps untried, untested, Commission warns in new risk alert
Citadel Securities is muscling up against accusations that the quant trading giant conspired with online broker-dealer Robinhood to squelch a populist investor raid on GameStop ...
Cases reveal a brokerage system all but begging to be exploited.
'A regulator who always says "no" is not serving investors well,' Peirce says.
Gensler has tough questions for 'stonks' industry
Investors would normally revel in investment earnings that could produce capital gains but the SEC notes in a new enforcement action that their adviser erred ...
Prior to SoFi Wealth’s decision to move client assets into the new SoFi ETFs, and prior to the transfer itself, SoFi Wealth did not perform ...
Firm also ran afoul of cash solicitation and documentation requirements, 'ineffective' compliance program cited
Robinhood CEO Vladimir Tenev says his firm shut down GameStop trading on his site because it was worried about “risk.” “At approximately 5:11 a.m. EST ...
There are now nearly 13,500 SEC-registered IAs managing $97.2 trillion in assets

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