Veteran Wall Street attorney and publisher of the BrokeAndBroker.com Blog, Bill Singer, hosted the seven-episode video series Case-in-Point,which concluded its run on November 24, 2015. Below find the array of interviews touching on topics from the birth of the volatility index to the survival of smaller broker-dealers to hot-button regulatory/compliance issues.
Regardless of the business that you're in, if you have clients, they can and do die. Sometimes you are prepared for a customer's demise because they... Read On
FINRA Stretches Definition Of Participating In A Private Securities Transaction (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3984/finra... Read On
What's a lot? What's reasonable? How many times is frequently? When is enough, enough? What does it mean to participate? These and other mysteries of ... Read On