Compliance and Financial Oversight Blog
Fintech, Investment Adviser, Broker/Dealer Compliance Officers
NASD, FINRA, NYSE Regulation Alumni
RT @reedhastings: At 200m, Rich, it was Denny's on Demand at home. https://t.co/VKgr3qJ0So
RT @AjitPai: With gratitude to my family, friends, @FCC co-workers, and this great country for the support over the past four years. Thank…
RT @aosipovich: One of the world's last remaining open-outcry trading floors may be about to shut down permanently- I wonder what will happ…
@SaraEisen @Sprite @CocaCola 'Breaking Up' 😉 isn't always hard to do especially when your #1, world champ or GOAT
RT @skupor: A prescient forecast from @cdixon: "Instead of placing our trust in corporations, we can place our trust in community-owned and…
RT @andrewrsorkin: My column: The CEO of @NYSE parent company is married to Senator Kelly Loeffler, who up until the mob stormed the Capito…