Search for: "20/20 Investments"
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3 May 2022, 9:01 am
When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
29 Mar 2010, 10:54 am
The Director views a protectionist approach to hedge fund regulation as antithetical to fundamental principles of the free movement of capital and contrary to the core G-20 principles of regulatory cooperation. [read post]
17 Jun 2009, 6:04 am
Strengthen Investor Protection The SEC should be given new toold to increase fairness for investors by establishing a fiduciary duty for broker-dealers offering investment advice and harmonizing the regulation of investment advisers and broker-dealers. [read post]
22 Jan 2015, 8:30 am
For example, if a certain fund does really well and second performs poorly, a once 50-50 split could teeter-totter to something more like 80-20. [read post]
11 Jul 2022, 11:29 am
When brokers and registered investment advisors violate securities laws, such as taking loans from customers or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
The third disclosure in Simmons’ record is a bankruptcy discharge filed on 6/20/2018, with no additional information disclosed. [read post]
19 Mar 2021, 11:31 am
” Nevertheless, the “race to the bottom” in global corporate tax rates has stalled in recent years with average corporate tax rates in the mid-20s. [read post]
26 Apr 2022, 6:12 am
GWG Holdings, Inc filed for Chapter 11 bankruptcy protection on April 20, 2022 after failing to make $13.6 million in interest payments to bondholders in January. [read post]
27 May 2024, 9:01 pm
On May 16, 2024, the Securities and Exchange Commission (“SEC”) significantly expanded its consumer information protection framework by adopting rule amendments (the “Final Amendments”) to Regulation S-P, which governs the protection of consumer financial information held by broker-dealers, investment companies, registered investment advisers and now transfer agents (“S-P entities”). [read post]
24 Mar 2024, 6:53 am
We are inviting papers on the following topics: USA’s and China’s evolving foreign policy and diplomacy in the region, alignment behaviour in the Pacific Rim, China’s economic statecraft, great powers’ soft power and sharp power, maritime security, roles of Chinese diasporas, regional institutions, and Chinese trade and investment in the region. [read post]
12 Jul 2009, 7:22 pm
In 1991, Caserta was barred by the Securities and Exchange Commission from "association with any broker, dealer, or investment advisor. [read post]
29 Nov 2010, 6:27 am
Here at Blawgconomics we have for some time been strong proponents of the idea that the real estate investment trust (REIT) regime in the United States could be Utilized, with a few minor adjustments, to stimulate the development of solar infrastructure in the country. [read post]
31 Mar 2021, 1:38 pm
For example, the bottom 20 percent of earners would on average see a 1.5 percent drop in after-tax income in the long run. [read post]
4 Aug 2011, 2:00 am
” “Identifying activity level” is defined as transactions in NMS securities that equal or exceed: 2 million shares or $20 million during any calendar day; or 20 million shares or $200 million during any calendar month. [read post]
3 May 2022, 1:55 am
Raising the METR and AETR in the United States reduces incentives to increase existing investments and to locate new investments domestically. [read post]
10 Mar 2020, 6:15 am
With nearly 2,000 quiz takers, only a handful of participants managed to guess all 20 correctly. [read post]
26 Feb 2022, 8:54 am
The suspension in all capacities is in effect from December 20, 2021, through April19, 2022, and the suspension in any principal capacity is in effect from December 20, 2021, through March 19, 2023. [read post]
16 Jan 2012, 4:42 pm
Bancorp Investments Inc., in Sacramento, California, was barred from association with any FINRA member in connection with finding that Bonilla failed to respond to FINRA requests for information related to a claim that Bonilla falsified documents in which he overstated an investor's net worth, annual income, and investment experience and misstated the fee associated with investor's security instrument. [read post]
19 Jun 2017, 7:23 am
§20-109(A). [read post]
12 Jul 2010, 12:25 pm
CISADA establishes the ability for state and local governments more easily to divest themselves of, or to prohibit, investments of public funds in companies that invest in Iran. [read post]
