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RIA Regulatory Review | Dorsey & Whitney LLP

This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers.

Dorsey-whitney , Securities-exchange , Branch-offices , Large-hedge-fund-managers , Division-of-examinations , Securities-exchange-act , Marketing-rule-focus , Investment-advisers-act-rule , Marketing-rule , Safeguarding-customer-records , Investment-adviser

No More Mr. Nice BI: Reg BI Violation Leads to Expulsion for FINRA Member Firm | Mintz

The Financial Industry Regulatory Authority (“FINRA”) has acted on its promise to bring Reg BI to life, announcing last week that it has expelled member firm SW Financial, as well as...

State-of-connecticut , Connecticut , United-states , Thomas-diamante , Christopher-kelly , Enforcement-department , Financial-industry-regulatory-authority , New-york-based , Regulation-best-interest , Care-obligations , Disclosure-obligation , Care-obligation

FINRA Enforcing REG BI Brings Charges Against SW Financial

SW Financial charged with, negligently misrepresenting and omitting material facts in disclosures to its investors, cloaking a conflict of interest the firm had with the securities at issue. The Financial Industry Regulatory Authority expelled member firm SW Financial

Connecticut , United-states , State-of-connecticut , Thomas-diamante , Christopher-kelly , Enforcement-department , Financial-industry-regulatory-authority , New-york-based , Regulation-best-interest , Care-obligations , Disclosure-obligation , Care-obligation

SEC Staff Raises the Bar for Broker-Dealers Under Regulation Best Interest | Skadden, Arps, Slate, Meagher & Flom LLP

On April 20, 2023, the Securities and Exchange Commission (SEC) released a Staff Bulletin (Bulletin) on the care obligations for broker-dealers and investment advisors, pursuant to...

Gary-gensler , House-committee-on-financial-services , Meagher-flom , Exchange-commission , Exchange-act-release-no , Staff-bulletin , Regulation-best-interest , Investment-advisers-act , Disclosure-obligation , Care-obligation , Interest-obligation , Compliance-obligation

Prüfbericht Rechnungshof: Gantner gibt Fehler zu

Prüfbericht Rechnungshof: Gantner gibt Fehler zu
vorarlberg.orf.at - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from vorarlberg.orf.at Daily Mail and Mail on Sunday newspapers.

Austria , Test-report-court , National-spokesperson , Experts-of-administration , Consulting-services , Country-court , Test-report-court-of-audit , Country-court-of-auditors , State-government , Court-of-audit , Government-decision

Lufthansa Long: 98 Prozent Chance! ()

Lufthansa Long: 98 Prozent Chance! () | aktiencheck.de

Germany , German , Express , Lufthansa , Center-point , Holding-of-financial-instruments , Share-price , Consolidation-beginning , Capital-increase , New-shares , John-billion

Shop Apotheke - Stopp weiter nachziehen ()

Shop Apotheke - Stopp weiter nachziehen () | aktiencheck.de

Express , Database-base-price , Holding-of-financial-instruments , Pharmacy-stop , Online-pharmacy , Day-before , Target-price-reserved , Trend-channel , Trading-strategy , Winning-goals , Landmark-points

Bayer - Ausbruch nach oben? () | aktiencheck.de

Bayer - Ausbruch nach oben? () | aktiencheck.de

Express , Database-base-price , Holding-of-financial-instruments , Day-before , Trend-channel-limit , Upward-correction , Running-high , Weekly-chart , Trading-strategy , Winning-goals , Landmark-points

DAX zeigt weiter Schwäche () | aktiencheck.de

DAX zeigt weiter Schwäche () | aktiencheck.de
aktiencheck.de - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from aktiencheck.de Daily Mail and Mail on Sunday newspapers.

Germany , German , Vdax-new , Express , Holding-of-financial-instruments , German-exchange , Trend-channel , Daily-high , Downtrend-run , Price-decline , Extending-deep , Current-location

S&P 500 mit Kurs auf 4.300 Punkte? ()

S&P 500 mit Kurs auf 4.300 Punkte? () | aktiencheck.de

Express , Database-base-price , Holding-of-financial-instruments , Day-before , Daily-candle , Target-price , Daily-chart , Trading-strategy , Important-chart-marks-resistors , Points-supports , Points-strategy