Search for: "ROBINHOOD FINANCIAL LLC"
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24 Dec 2021, 6:26 am
, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities litigation, Securities regulation, Shareholder voting ESG and 2021 Year-End Financial Reporting Season Posted by Maria Castañón Moats and Stephen G. [read post]
1 Mar 2023, 7:55 am
But the difference between those products and a financial instrument is if you’re endorsing a financial instrument like FTX you have a responsibility, according to these lawsuits that have been brought, to do due diligence and to make sure you understand it. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
