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Have you visited the SEC’s Strategic Hub for Innovation and Financial Technology (“FinHub”) yet? http://ow.ly/aadP50yakwe
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ICYMI: OCIE’s 2020 Examination Priorities include Digital Assets and Electronic Investment Advice http://ow.ly/YF5X50yaksN
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Learn more about churning here: http://ow.ly/UyWq50yakq0
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So what is churning anyway? Churning occurs when a broker engages in excessive buying and selling of securities in a customer’s account chiefly to generate commissions that benefit the broker.
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Check out the agenda for tomorrow's meeting of the SEC's Small Business Capital Formation Advisory Committee: http://ow.ly/kHhm50yakj5
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SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices http://ow.ly/DQWI50yakfw
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The EDGAR database provides free public access to corporate information allowing you to research a public company’s financial information and operations by reviewing the filings the company makes with the SEC. http://ow.ly/8XQS50y5Fn8
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Proposed Amendments to the Accredited Investor Definitionhttps://www.youtube.com/watch?v=Y5j2yf31Wyw …
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Self-directed IRAs allow investment in a broader-and potentially riskier-portfolio of assets than other types of IRAs. Investors should be mindful that investments in self-directed IRAs raise risks including fraudulent schemes, high fees... http://ow.ly/aIrS50y5Few
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Click this link for a list of websites run by federal agencies, state regulators, consumer groups and self-regulatory organizations that may be helpful to individual investors. http://ow.ly/z5Kd50y5FcA
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Which financial professional is best for you? Sorry we can’t answer that question directly, but please keep reading this Director’s Take to get information to consider in helping you make your decision. http://ow.ly/vk4f50y5Fad
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ICYMI: The SEC’s Office of Investor Education and Advocacy issued this
#InvestorBulletin to provide investors information about funds that invest in leveraged loans. http://ow.ly/mrGQ50y5F80Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
ICYMI: The SEC’s Office of Investor Education and Advocacy issued this
#InvestorAlert to urge investors to use caution before investing in so-called “initial exchange offerings” through online trading platforms. http://ow.ly/a7Do50y5F3PHvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Other priorities include FinTech and AML programs. http://ow.ly/t6ax30qc3Wa
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Over $63 Million to Be Returned to Investors in Alleged Real Estate Investment Fraud: http://ow.ly/fdsx30qbKBC
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ICYMI: This year, the priorities of our examination program include retail investors, including seniors and others saving for retirement, market infrastructure, and information security. http://ow.ly/lp4F30qakE2
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Today at 1pm EST, the Office of the Advocate for Small Business Capital Formation is hosting their first ever Capital Call, where they will talk about what’s happening with capital raising from startup to small cap. http://ow.ly/LGB630qakDG
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Let’s go back to basics. Learn more here about how stock markets work: http://ow.ly/u3IW30qakDf
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Initial exchange offerings (IEOs) are a recent development in the rapidly evolving digital asset space. Learn more about the risks here: http://ow.ly/FLg430qakCT
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Today we honor the memory of Dr. Martin Luther King Jr. In his words: “The time is always right to do what is right.”
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