Tags » Financial Industry Regulatory Authority

BrokerCheck System Offers Information about Brokers

A full service retail and institutional broker-dealer in New York, New York, Aegis Capital Corp. operates with a focus on enhancing client goals through unencumbered advice and a conflict-free platform. 126 more words

Aegis Capital Corp

Chief Counsel rules that fines paid to FINRA are not deductible

IRS Chief Counsel has determined that the Financial Industry Regulatory Authority (FINRA) is an entity serving as an agency or instrumentality of the government of the United States. 204 more words

IRS

Should You Trust Your Hard Earned Investment or Pension to a Robot?

These robots, of course, aren’t like those you see in films. Instead they are capable of providing investment advice usually delivered by a human adviser sitting behind a desk — and for a lot less money. 732 more words

Financial Industry

FINRA Regulatory and Examinations Priorities Letter

A partner at Freeman, Freeman & Smiley, LLP, in Los Angeles, attorney Sylvia Scott leads the firm’s Securities Regulation Practice Group. A lawyer with tremendous exposure to matters involving securities regulatory compliance, Sylvia Scott’s focus as an attorney is on helping clients abide by the regulations of the… 173 more words

Sylvia M Scott

SEC publishes CAT National Market System Plan for public comment

On April 27, 2016, the Securities and Exchange Commission (SEC) unanimously approved a proposal to implement the Consolidated Audit Trail (CAT) National Market System (NMS) plan for public comment. 734 more words

Financial Services

2016 FINRA Regulatory and Examinations Priorities Letter

A partner at Freeman, Freeman, and Smiley, LLP, Sylvia Scott is an attorney based in Los Angeles, California. Recognized in 2015 as a South California Super Lawyer, Sylvia Scott advises clients on how to follow the… 195 more words

Sylvia M Scott

Financial Industry Regulatory Authority Holds Annual Conference in May

A biotechnology and pharmaceutical finance professional, Steve Kanzer serves as the chairman and CEO of Accredited Ventures, Inc. in New York, New York. Steve Kanzer is also a member of the… 196 more words

Steve Kanzer