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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
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
Digital advisors and broker-dealers sprung up as a way to simplify the lives of ordinary investors. Now those companies that famously disrupted the financial services ...

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