Tags » Broker-Dealer
Wall Street careers are no longer considered hot by many young people. Recent college graduates are increasingly choosing careers other than Wall Street.
284 more words
Droves of bright young professionals, many with finance degrees, are rejecting — with a mixture of trepidation and rage — a prospective banking career.
We have written about these issues in a variety of posts, “Avoiding The Wolf On Wall Street,” “Looking for a Financial Advisor? The “F” Word You Should Be Aware Of… 995 more words
Simpson Thacher discusses SEC and FINRA Report on Cybersecurity Sweep Examinations and SEC's Cybersecurity Guidance Update
The SEC issued a National Exam Program risk alert summarizing OCIE’s cybersecurity examination sweep of advisers and broker-dealers on February 3, 2015 (SEC Risk Alert). On the same day, FINRA issued its report on cybersecurity practices of broker-dealers, based on its own sweep examination (FINRA Report). 1,539 more words
With Chair Mary Jo White in her second year at the helm, the Securities and Exchange Commission showcased its efforts, improvements, and enforcement successes at this year’s SEC Speaks Conference. 1,831 more words
Under section 201(c) of the JOBS Act, an electronic platform is not required to register as a broker-dealer solely because the platform offers securities under Title II, co-invests in the securities, or provides due diligence services or standardized documents. 650 more words