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E2VE Jul 17
FINRA and SEC coordinating deliberative approach to regulation of fundamental market infrastructure. + fraud or theft of digital assets based on internal custody and transfer structures. + of losing…
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Wagner Law Group Jul 19
Brokerage industry blasts NJ fiduciary rule at hearing....
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webprez Jul 18
What is WebPrez? It's the simplest way to get people interested in the products you sell. 💯 Watch the video to learn more!
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WBF NY Official Jul 12
"A Finland-based firm offering cryptocurrency brokerage and exchange services has been granted a Payment Institution License (PIL) in the EU," according to . via
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Lincoln Investment Jul 19
“We are grateful to be recognized by Financial Planning, and congratulate our advisors and employees for making this happen.” said President & CEO Ed Forst.
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Andreas von Falck Jul 20
The U.​S. SEC and FINRA have issued a statement on the application of the federal securities laws and the rules of FINRA to the potential intermediation of and transactions.
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Cipperman Compliance Jul 17
BD Pays $26.4 Million for Failing to Conduct Targeted Email Reviews Cipperman Compliance Services, LLC
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North Capital Jul 12
SEC and FINRA clarify broker-dealer custody digital assets with a joint statement
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webprez Jul 17
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ThinkAdvisor Jul 18
. has launched Bluespring Wealth Partners, a business focused on acquiring experienced RIA & wealth management firms.
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DLA Piper Jul 12
and issue joint statement on custody of digital asset securities
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webprez Jul 16
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webprez Jul 12
"In fact, Diode Digital recently found that online video is a 600% more effective marketing tool than print and direct mail combined." 🔥
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Cadwalader Cabinet Jul 16
staff encourage market participants to prepare for the transition, a settled charges for failing to report transactions subject to the exercise of an OTC option and more in today's newsletter.
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National Law Review Jul 15
Bridging the Week by Gary DeWaal: July 8 – 12, and July 15, 2019 (Crypto Custody; An International Exchange and Truth; One + One = Two)
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Mike Langford Jul 18
In the latest episode of the Valuations Podcast by I dive into the strategic considerations for acquiring another wealth management or insurance business.
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Innovate Capital Law Jul 14
Fascinating (and easy to read) discussion of and guidance and regulatory hurdles on activity in .
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John V. Levonick 21h
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CybSecWatch Jul 13
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Beacon Hill Invest Jul 12
While the new regulations do raise the standard for broker-dealers, they are still short of the legal standard of care required by RIAs.
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