Trading Suspensions
The SEC can suspend trading security for up to ten business days to safeguard investors. This decision follows an investigation and a...
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Summary of Phishing, Smishing, and Vishing Scams SEC Alert
The SEC is responsible for educating investors about the common ways fraudsters and scammers use to obtain funds. Phishing, smishing, and...
A Quick Guide to SEC Section 13 Filings
A Quick Guide to SEC Section 13 Filings Investment managers often oversee large portfolios worth millions or billions of dollars. Such...
SEC Commissioners' Clash about Cryptocurrencies
In recent speeches, two Securities and Exchange Commission (SEC) commissioners, Caroline Crenshaw and Hester Peirce took opposite stands...
FINRA Reviews the Use of Social Media Influencers
The Financial Industry Regulatory Authority (FINRA) examines how brokerage firms utilize social media platforms and influencers to...
Schwab Requires RIAs to have E&O and Cyber Liability Insurance
Starting from 2022, all Charles Schwab custodians must have cyber liability and E&O insurance coverage. This mandate means that all RIAs...
Exaggerated Credentials - What To Look Out For?
It's not uncommon for fraudsters to misrepresent their backgrounds. They can also do the same with their experience to lure investors...
Payment for Order Flows
What Is Payment For Order Flows? Payment for order flows refers to a practice where wholesale market makers pay brokers after the...
SEC Panel Recommends Changes to Insider Trading Rule, SPAC Disclosure
The Securities and Exchange Commission (SEC) approves proposals for new rules requiring corporate insiders to wait for a certain amount...
Warning: Fraudsters posing as Brokers or Investment Advisers
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy (OIEA) with the FBI Criminal Investigative...
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