In an effort to cultivate an orderly daily closing, ten minutes before the close at 3:50:00 p.m., NASDAQ releases a Net Order Imbalance Indicator, whi...Read On
The Blog Story Mark Cuban ReTweeted!: Securities and Exchange Commission ("SEC") Commissioner Michael S. Piwowar and his often like-minded colleague, Commissioner Daniel Gallagher, are the...Read On
On October 15, 2014, the Securities and Exchange Commission ("SEC") filed an Order Instituting an Administrative Proceeding ("OIP") against "Complianc... Read On
You should be thrilled to learn that the venerable Lloyds & Associates Management Ltd. is involved in this deal that I'm going to pitch to you. Yo... Read On
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
It is the zombie that will not die. North American Clearing and Richard Goble continue to seek revenge. After having taken a bite out of the Securitie... Read On
FINRA SOUTH REGION SMALL FIRM ADVISORY BOARD ("SFAB") ELECTION: FINRA small firm members in the South Region have three candidates available for election to the SFAB by Friday, November 14, 2014. Of the three nominees, I wholeheartedly endorse Carrie Wisiniewski, President, Bridge Capital Associates, Inc. and urge all eligible firms to vote for her. Bill Singer
If there's one thing that's certain about the COVID-19 pandemic, it's that it has changed the way we work and interact with one another. From virtual ... Read On
Someone lost about $100 from a Bank of America drive-up ATM. Someone found it. That first finder wasn't a keeper. That first finder gave the $100 to a... Read On
We got a really, really busy day of news over at our companion publication the "Securities Industry Commentator." The content is free and fabulous. Wh... Read On
Recently, the SEC issued: "SEC Awards Almost $3 Million Total in Separate Whistleblower Awards" (SEC Release / February 19, 2021) https://www.sec... Read On
When I first starting working in-house at Smith Barney, Harris Upham & Company in 1982, folks in the biz thought that the industry's regulators we... Read On
GUEST BLOG [In]Securities: Instant Karma By Aegis Frumento Esq(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5702/insecurities-aegis-frumento-... Read On
[In]Securities a Guest Blog byAegis J. Frumento, Partner, Stern Tannenbaum & BellInstant KarmaHere's a question I haven't heard in decades:&n... Read On