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7 Feb 2020, 6:00 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Sunday, February 2, 2020 Tags: Broker-dealers, Cybersecurity, Duty of care, Financial technology, Investor protection, OCIE, Retail investors, Risk management, SEC, Securities regulation Speech by Commissioner Elad Roisman on Myths and Realities: Modernizing the Proxy Rules Posted by Elad L. [read post]
1 Nov 2019, 4:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4892/securities-industry-commentator/Tower Research Capital Not Such a CFTC Bad Boy After E-Mini Fraud (BrokeAndBroker.com Blog)As behemoth brokerage firms go zero-commission on trades, advisors are concerned (CNBC.com by Andrew Osterland)Ex-Merrill broker-turned-RIA settles CE cheating allegations (On Wall Street by Kenneth Corbin)SEC Dismisses… [read post]
3 Sep 2019, 1:16 pm
It’s Tyler Broker’s one-year anniversary here at Above The Law, so he felt compelled to take some perspective. [read post]
2 Aug 2019, 3:02 am
” [Tyler Cowen] “Low wage workers responded by commuting out of states that increased their minimum wage” and more on domestic migration effects of these laws [Cowen] “The minimum wage is not a settled issue. [read post]
22 Jul 2019, 9:09 am
Meantime, the three New York-based brokers made millions of dollars in bonuses. [read post]
18 Mar 2019, 4:00 am
., Cambridge University Press 2018)).Thomas Charles Berg, Religious Freedom and Nondiscrimination, (50 Loyola University Chicago Law Journal 181 (2018)).Lloyd Hitoshi Mayer, When Soft Law Meets Hard Politics: Taming the Wild West of Nonprofit Political Involvement, (45 Journal of Legislation (2019, Forthcoming).Brian Bird, The Call in Carter to Interpret Freedom of Conscience, (2018) 85:2 Supreme Court Law Review 107-141.Tyler Broker, Church And State Originalism,(University of… [read post]
4 Jan 2019, 4:20 pm
In November, Tyler wrote about insurance issues raised by both the European Union’s General Data Protection Regulation (GDPR) and the California Consumer Privacy Act, which goes into effect on January 1, 2020. [read post]
20 Dec 2018, 9:22 am
UNARCO closed its Paterson, New Jersey plant, and moved it to Tyler, Texas.32 1955. [read post]
10 Dec 2018, 3:16 pm
Tyler Winklevoss and Cameron Winklevoss, the twins who famously battled Mark Zuckerberg over the origins of Facebook, notably opted to invest in bitcoin in 2013 – and bitcoin’s value shot up to almost $1,000 that year. [read post]
9 Oct 2018, 5:19 am
Gramins and Tyler G. [read post]
1 Oct 2018, 6:27 am
Newman is a partner at Patterson Belknap Webb & Tyler LLP. [read post]
30 Aug 2018, 9:01 pm
North Carolina: CEOs Gave Heavily During Legislative Session, Exposing Loophole in NC’s Fundraising BanWRAL – Travis Fain and Tyler Dukes | Published: 8/29/2018 North Carolina law lets top corporate executives donate to campaigns during General Assembly sessions even as it bans contributions from the companies themselves year-round and forbids anyone who contracts directly with a lobbyist from giving during a session. [read post]
21 Jun 2018, 6:55 am
FINRA Disciplinary Report: June 2018Every month and every quarter, securities industry watchdog, the Financial Industry Regulatory Authority (FINRA) releases its report of disciplinary actions against FINRA registered broker-dealers and brokers. [read post]
3 Jun 2018, 2:18 pm
In fact, securities administrators in each state are responsible for enforcing state securities laws, licensing firms and investment professionals, registering certain securities offerings, examining broker-dealers and investment advisers, and providing investor education programs and materials to their constituents. [read post]
5 Mar 2018, 2:16 pm
Regulation of providers of local services–barbers, real estate brokers, taxi cabs, etc. [read post]
15 Jan 2018, 9:55 am
Wanner’s alleged scheme included the sale of fictitious brokered time certificates of deposit, and unregistered interests in pooled investment vehicles. [read post]
13 Dec 2017, 9:53 am
Amanda Tyler explained how the history of habeas corpus applies to the unnamed U.S. citizen detainee in ACLU v. [read post]
9 Dec 2017, 3:59 am
James Pfander reviewed Amanda Tyler’s new book on the history of the writ of habeas corpus in war. [read post]
4 Dec 2017, 2:53 am
His vice president, John Tyler, did not fare well with the Whigs since he was a former Democrat. [read post]
