Compliance and Financial Oversight Blog
Fintech, Investment Adviser, Broker/Dealer Compliance Officers
NASD, FINRA, NYSE Regulation Alumni
RT @DaveCBenoit: Coronavirus has wreaked havoc on a single floor at JPMorgan where the people have still been going to work and they are up…
RT @jacknicas: You've heard hospitals are desperately short on masks. Now here's the wild tale of the people trying to get them from China…
RT @NJHoopsHaven: College basketball's Most Courageous Award is a big deal. Past winners include Jim Valvano and Pat Summitt. This year it'…
RT @MatthewGut21: On this day 44 years ago, Syracuse decided not to open up a national search. SU hired an assistant, 31-year-old Jim Boehe…
RT @SEC_News: Tune in at 11 a.m. ET tomorrow for our #SECsmallbiz virtual coffee on the impact of #COVID_19 on #crowdfunding and the future…
RT @NickTimiraos: More money is managed by a few firms that can swallow large chunks of debt at premium prices. Meanwhile brokers that trad…