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14 Mar 2024, 6:19 pm
Broker Due Diligence Broker dealers are required to perform adequate due diligence on any investment they recommend and to ensure that all recommendations are suitable for the investor. [read post]
14 Mar 2024, 11:50 am
Explain that you are the broker representing the owner and you just want to verify the names. [read post]
14 Mar 2024, 8:59 am
Adding those videos would add valuable new data to its dossier on me and allow it to monetize it with advertisers, data brokers and anyone else that uses its self-service online advertising platforms and services. [read post]
14 Mar 2024, 8:02 am
I wrote about a bill, SB 54, that would have required institutional investors, securities and real estate brokers, and others to report on the diversity status of "founding teams". [read post]
13 Mar 2024, 9:05 pm
To sell securities, brokers must pass these exams. [read post]
13 Mar 2024, 8:56 am
In an enforcement action in the Southern District of New York, the SEC has charged Coinbase with registration violations including failure to register as a national securities exchange, broker-dealer, and clearing agency. [read post]
13 Mar 2024, 6:30 am
Highlights: Aggressive Positions Lead to Increased Penalties: The SEC obtained a near record amount of $4.9 billion in penalties in 2023.[1] As in 2022, these penalties were significantly bolstered by investigative “sweeps,” including enforcement actions against broker dealers relating to the use of “off-channel” electronic communications, such as text messages, that resulted in more than $400 million in penalties.[2] The SEC also obtained admissions from corporate… [read post]
13 Mar 2024, 6:30 am
Highlights: Aggressive Positions Lead to Increased Penalties: The SEC obtained a near record amount of $4.9 billion in penalties in 2023.[1] As in 2022, these penalties were significantly bolstered by investigative “sweeps,” including enforcement actions against broker dealers relating to the use of “off-channel” electronic communications, such as text messages, that resulted in more than $400 million in penalties.[2] The SEC also obtained admissions from corporate… [read post]
12 Mar 2024, 5:01 pm
User data will still be collected by numerous platforms—possibly even TikTok after a forced sale—and it will still be sold to data brokers who can then sell it elsewhere, just as they do now. [read post]
12 Mar 2024, 1:44 pm
Security Tokens may be acquired in platforms that are registered with the Securities and Exchange Commission (SEC) as Alternative Trading Systems (ATS), such as tZero and OpenFinance, broker-dealers and crowdfunding platforms such as Kickstarter and StartEngine. [read post]
12 Mar 2024, 6:28 am
Gensler has previously said that under current rules, brokers and advisers cannot address conflicts of interest through disclosure alone.Commissioner Hester Peirce questioned why the recommendation was changed from an earlier draft, particularly regarding the earlier version’s emphasis on disclosure versus mitigation of conflicts. [read post]
12 Mar 2024, 5:58 am
In this intricate network, insurance brokers, law enforcement, and legal counsel become key players who collectively navigate the murky waters of fidelity claims. [read post]
12 Mar 2024, 5:00 am
“CLEAR AND UNAMBIGUOUS” CONTRACT PRECLUDED PAYMENTAfter she was terminated “for cause,” RV – a licensed insurance broker -- sued Emblem Health Medicare for payment of commissions she had allegedly earned on policies that had been renewed after her disassociation.And when RV’s small claims case was dismissed by the New York County Civil Court, an appeal ensued.On its review, the Appellate Term, First Department, noted that RV’s contract provided that… [read post]
12 Mar 2024, 4:00 am
Campaign Finance California: “Recall Campaign Against Alameda County DA Pamela Price Paid Thousands to Security Firm Tied to Its Own Leader, Records Show” by Jakob Rodgers (Bay Area News Group) for San Jose Mercury News Indiana: “Hoosier Political Candidates Can Use Donations for Child Care, Election Officials Say” by Leslie Bonilla Muñiz for Indiana Capital Chronicle Elections National: “America’s Election Chiefs Are Worried AI Is… [read post]
12 Mar 2024, 3:36 am
See Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2–11(g) Under the Securities Exchange Act of 1934, From Rule 15c2–11 for Fixed-Income Securities Sold in Compliance With the Safe Harbor of Rule 144A Under the Securities Act of 1933, 88 FR 75342 (Nov. 2, 2023) [read post]
12 Mar 2024, 12:10 am
Wyden Exposes Data Brokers Selling Location Data to Anti-Abortion Groups That Target Abortion Seekers (Feb. 27, 2024) Just Security: “The Facts About Electronic Surveillance Reform by U.S. [read post]
11 Mar 2024, 9:05 pm
Securities and Exchange Commission (SEC) responded to technical issues related to the gamification of trading by requiring increased disclosure obligations for broker-dealers, but only after amateur investors suffered losses. [read post]
11 Mar 2024, 8:07 pm
LexisNexis is a New York-based global data broker with a “Risk Solutions” division that caters to the auto insurance industry and has traditionally kept tabs on car accidents and tickets. [read post]
11 Mar 2024, 10:02 am
The SEC has initiated these actions against immigration lawyers who it claimed, for example, offered investments without registering as a broker or received commissions from their clients’ investments. [read post]
11 Mar 2024, 7:14 am
Investors can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
