FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)
Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)
E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)
After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)
CFTC Announces Whistleblower Awards Totaling More Than $1 Million (CFTC Release)
SEC Discloses 30% Maximum Dodd-Frank Award in Whistleblower Order (SEC Order Determining Whistleblower Award Claim)
SEC Discloses 20% Maximum Dodd-Frank Award in Whistleblower Order Now Involving Estate (SEC Order Determining Whistleblower Award Claim)
Two Chinese Hackers Working with the Ministry of State Security Charged with Global Computer Intrusion Campaign Targeting Intellectual Property and Confidential Business Information, Including COVID-19 Research / Indictment Alleges Two Hackers Worked With the Guangdong State Security Department (GSSD) of the Ministry of State Security (MSS), While Also Targeting Victims Worldwide for Personal Profit (DOJ Release)
FINRA Arbitrators Find No Account or Customer Relationship to Support Jurisdiction
In the Matter of the Arbitration Between Southpac Trust, in its capacity as Trustee of the Dragoo Family Trust, dated June 25, 1996, as amended and restated; Washington Capital Partnership, LLLP; and Lincoln Capital Partnership, LLLP, Claimant, v. Cetera Advisors LLC, Respondent (FINRA Arbitration Award)
Bridgewater Over Troubled FINRA Waters (BrokeAndBroker.com Blog)
Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor
(BrokeAndBroker.com Blog)
Vote for Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)
