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This disciplinary action is notable because the relevant investors seemed to have been "accredited investors" who were eligible to participate in the private placement.
@FINRA#finreghttps://twitter.com/FindKnowDo/status/1225182607304024068 …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Expect significant debate in the coming year over the ownership of trading data and the costs of obtaining access.https://www.findknowdo.com/news/01/24/2020/cboe-byx-exchange-introduces-small-retail-broker-dealer-distribution-program …
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The bad guys know how to conduct cyberattacks on payment systems; hopefully the issues raised by the NY Fed will focus the good guys on the risks.
#cybersecurity#cyberattackshttps://twitter.com/FindKnowDo/status/1217905145364860930 …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Steven Lofchie proslijedio/la je Tweet
The
#SEC urged investors to consider certain risks before investing in initial exchange offerings of digital assets.@StevenLofchie provides analysis here.#cryptocurrencies#cryptoHvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Steven Lofchie proslijedio/la je TweetHvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi
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If the open-ended authority provided
#FSOC is not to be eliminated, at least the government is taking steps to formalize the process so that it may be applied with an even hand.#finreg#finance#bankinghttps://www.findknowdo.com/news/12/31/2019/federal-register-fsoc-approves-activities-based-approach-combating-systemic-risks …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
#LIBRA was a poorly conceived project...The products that are genuinely powerful are true "stablecoins" that are linked to the dollar or other single currencies, and generally supported by a bank account.#cryptohttps://www.findknowdo.com/news/12/19/2019/frb-governor-lael-brainard-highlights-challenges-posed-global-stablecoin-networks …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
It is difficult to see how the economics work for a
#brokerdealer to make recommendations to individual clients, get paid only a transaction commission, and be deemed to be subject to a "fiduciary standard of utmost care."https://www.findknowdo.com/news/12/18/2019/massachusetts-securities-division-proposes-fiduciary-conduct-standard …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
In a world where every website is under potential attack from hostile nation states and from criminal organizations, why would one take the risk of gathering so much financial information in one place?https://www.findknowdo.com/news/12/13/2019/sec-commissioner-hester-peirce-questions-current-data-collection-practices …
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The new definition of "insider trading" contained in the House bill may have the effect of broadening the prohibition as applied to "computer data."
#insidertradinghttps://www.findknowdo.com/news/12/09/2019/house-passes-insider-trading-prohibition-act …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
While regulators may say that enforcement statistics don't matter, they obviously do, since every regulator touts its enforcement statistics. If they don't matter, why talk about them? If they do matter, what about them does?https://www.findknowdo.com/news/11/26/2019/cftc-division-reports-annual-enforcement-metrics …
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As trade execution fees drop, even to zero, and
#RegBI imposes further regulatory burdens on firms that make recommendations to retail investors, the business of being a full-service broker-dealer for retail investors is facing a lot of challenges.https://www.findknowdo.com/news/11/07/2019/sec-enforcement-division-co-director-describes-recent-efforts-share-class-disclosure …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Steven Lofchie proslijedio/la je Tweet
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@StevenLofchie: "There is quite a lot here that must be considered not only by advisers, but also by funds that engage with them, and by broker-dealers selling securities issued by managed funds."@SEC_News#brokerdealers#finregHvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Steven Lofchie proslijedio/la je Tweet
In this episode of the FCPA Compliance Report, I visit with Steven Lofchie. Lofchie and his team have developed an incredible new resource called The Cadwalader Cabinet, which is the “Go To One-Stop Shop”. http://fcpacompliancereport.com/2019/10/fcpa-compliance-report-episode-450-stephen-lofchie-cadwalader-cabinet/ …
@tfoxlaw@Cadwaladerpic.twitter.com/U97qkIEGjRHvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
Isn't this the type of matter in which the DOJ should be involved? Why is generating trading commissions from a dying and incapacitated person any different than sneaking into his hospital room and stealing his watch and wallet?https://twitter.com/FindKnowDo/status/1187126552095612930 …
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Enjoy a bonus musical selection to accompany your reading.
#cybersecurityhttps://twitter.com/JosephMoreno/status/1181633829158707200 …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
This is an early shot in what is likely to be an extended battle over potential revisions to the National Market System and, most importantly, how fees relating to trading through the system are charged.https://www.findknowdo.com/news/10/02/2019/sec-proposes-rescinding-certain-regulation-nms-provisions-fee-change-amendments …
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By this action, the
#SEC is focusing less on process and more on the end result; ultimately, the test will be whether the disclosure is good.@SEC_newshttps://www.findknowdo.com/news/09/26/2019/sec-extends-test-waters-accommodation-all-issuers …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
From a
#finreg perspective, this holding may substantially undermine any claim by regulators or plaintiffs that an algorithmic trading firm that had improperly obtained data it used in trading from a public website violated SEA Rule 10b-5.https://www.findknowdo.com/news/09/18/2019/ninth-circuit-rules-linkedin-cannot-block-data-scraping …Hvala. Twitter će to iskoristiti za poboljšanje vaše vremenske crte. PoništiPoništi -
If regulators want more companies to go public, they must lower associated burdens. If they want retail investors to put money in risky startups, they must not put all the risk of failure on the brokers. Like economics, financial regulation is about trade-offs. Read more here.https://twitter.com/FindKnowDo/status/1172599549266935810 …
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