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4 May 2018, 5:13 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/3958/securities-industry-commentator/ In today’s Securities Industry Commentator feed: United States of America, Appellee, v. [read post]
28 Nov 2022, 3:50 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6780/securities-industry-commentator/Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETSVirtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff,… [read post]
23 Jul 2021, 12:55 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5975/securities-industry-commentator/Statement on Investor Protection Related to Recent Developments in China by SEC Chair Gary GenslerFINRA Bars Founder of Integrity Brokerage Services and Fines Firm Over Association of Statutorily Disqualified IndividualDepartment of Enforcement, Complainant v. [read post]
1 May 2023, 3:49 am
JOIN TODAY -- FREE MEMBERSHIP 2023 FINRA Industry Snapshot Industry Recruiter Sues Morgan Stanley Citing Racial DiscriminationANTHONY FLETCHER,  Plaintiff, v. [read post]
29 Nov 2018, 8:28 am by Simon Lovegrove (UK)
On 28 November 2018, HM Treasury published a policy note on The Financial Services (Implementation of Legislation) Bill (the Bill). [read post]
27 May 2016, 3:48 am
This can extend to the names of characters portrayed by an individual, as occurred in the case of McFarland v. [read post]