FINRA’s Post

Latest #VLOG from our CEO Ferdinand Roberts . Check out the updates for #Signals and the commentary on recent changes from the #SEC for the Private Capital sector

Hey there everyone! 👋 Curious or concerned about veteran stock broker Charles J. Ehnot? Wondering about his past history with Supreme Alliance LLC and the Financial Industry Regulatory Authority? Let's unmask the secrets! 🕵️♀️ The governing agency FINRA regulates stock brokers, requires them to disclose customer complaints, disputes, penalties and certain financial issues. In Ehnot's case, he faced hefty fines when accused of carrying out unauthorised trades linked to real estate. As we navigate through the complex world of trading, it's crucial to remember that brokers and firms are obliged to uphold FINRA's rules on client suitability and obligations. This highlights the significant power

Hey there everyone! 👋 Curious or concerned about veteran stock broker Charles J. Ehnot? Wondering about his past history with Supreme Alliance LLC and the Financial Industry Regulatory Authority? Let's unmask the secrets! 🕵️♀️ The governing agency FINRA regulates stock brokers, requires them to disclose customer complaints, disputes, penalties and certain financial issues. In Ehnot's case, he faced hefty fines when accused of carrying out unauthorised trades linked to real estate. As we navigate through the complex world of trading, it's crucial to remember that brokers and firms are obliged to uphold FINRA's rules on client suitability and obligations. This highlights the significant power

Just finished Michael Lewis's 'Going Infinite,' and man, was it different from what I expected. Let's start with who the book is about—Sam Bankman-Fried (SBF). You might've heard the story already: a disgraced crypto mogul joining the 'Forbes 30 Under 30 to jail' pipeline. But Lewis doesn't cast SBF as the standard villain. Instead, he paints him more as an unintentional antihero, a twist that adds depth to the narrative. The book also offers a unique window into the Effective Altruism movement, shedding light on the dynamics of Silicon Valley and more. It's a perspective that helps us understand the larger picture beyond the usual tech headlines. There's been some criticism of Lewis's approach, and while it's important to take these insights with a grain of salt, the internal view of SBF's motivations is intriguing. It's not just about labeling someone as evil but understanding the complexities behind their actions. Lewis's writing is, as always, top-notch, making this book not just informative but also a pleasure to read. For those interested in a different angle on the high-stakes world of finance and tech, 'Going Infinite' deserves consideration. A great read that I definitely recommend. #BookReview #GoingInfinite #MichaelLewis #Finance #SiliconValley

#EasyDoesIt podcast 👇 Sascha Graham our legal eagle talks about how we at EasyEquities, Purple Group protect your cash & #investments

Stop by and check out FINRA at next week's #RegTechExpo in D.C. → https://ow.ly/lwbe50PEwZq FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. Learn more: 🔗 https://ow.ly/PCMx50PEwZr 🔗 https://ow.ly/lsey50PEwZs

Recent legal updates in prop trading and private funds industry really showed how compliance professionals are going to be in soaring demand….. US qualified lawyers, or compliance professionals considering getting a legal qualification, talk to me if you’d like to better plan your career. Due to various reasons, unlike in the US, in Asia compliance and legal have always been separate functions, but it’s under appreciated that we actually need compliance much much more than legal and it’s going to be increasingly so.

✋ Stop! Does your insider trading policy go far enough?    The SEC recently won a trial against an individual who had been accused of insider trading.    BUT he didn’t use information about his company or the acquisition.    So how did he get prosecuted? 🤔    By correctly assuming that there would be much more interest in his business area because of the acquisition and trading on the stock of a company in his world that was neither his company nor the acquisition, making $120,000 in the process.    What do you need to do about it? Watch my video to find out! 

Silvergate Capital and former execs misled investors about their compliance programs and financial stability from Nov 2022 to Jan 2023. The SEC is cracking down! Read more: https://lnkd.in/gBckN9Yv #Crypto #SEC #Silvergate #InvestorAlert #Compliance