Charles Malico, a former broker with Network 1 Financial Securities, will also pay a $5,000 fine. The disciplinary action follows the SEC’s first violation notice issued earlier this year citing the new standard.
The rejection over the risk of fraud and manipulation in the spot Bitcoin market is “capricious” and “discriminatory,” Grayscale wrote in a court brief.
The order concerning New Harbor Financial Group's recommendation of an inverse leveraged ETF comes several months after the commonwealth secretary announced an investigation into b/ds distributing single-stock ETFs.
This study uncovers several key differences in both approach and value proposition between Next-Gen Advisors and Established Advisors
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Once again, the DOL could put the employment status of independent broker/dealers in jeopardy. FSI President Dale Brown questioned whether the department gave enough attention to feedback from the industry when formulating the proposal.
The conversation shouldn’t be about “How are we going to get more?” it needs to be, “What do we want more of?”
Employers focused on whether employees can perform essential job functions remotely may not yet have examined other, critical components of a remote workforce.
