Judge lets Finra proceed with enforcement action against broker
A federal judge last week denied a broker's effort to stop Finra from disciplining him.
Source: investmentnews.com
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Statement On Best Execution Proposal, SEC Chair Gary Gensler, Dec. 14, 2022
<p><span>Today, the Commission will consider a proposal to establish a Commission rule setting forth a best execution standard and accompanying framework for broker-dealers. I am pleased to support this proposal because, if adopted, it would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best execution when trading securities, whether equities, fixed income, options, crypto security tokens, or other securities.</span></p>
Source: mondovisione.com
Federal Judge Dismisses Second Lawsuit Claiming HISA Is Unconstitutional - Horse Racing News
A federal judge in Kentucky on June 3 dismissed a lawsuit alleging the Horseracing Integrity and Safety Act was unconstitutional.
Source: paulickreport.com
Federal Judge Dismisses Second Lawsuit Claiming HISA Is Unconstitutional - Horse Racing News
A federal judge in Kentucky on June 3 dismissed a lawsuit alleging the Horseracing Integrity and Safety Act was unconstitutional.
Source: paulickreport.com