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We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.

 

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Wall Street News

Barclays Cuts, State Street Slides, UBS and DB Talk, Pretty Hurts … And Other Headlines and Headliners

April 23, 2019

Wall Street News

Most Financial Sector Stocks Rise (BlackRock +2.2%, LPL +1.6%, State Street -4.4%) - Apr. 23

April 23, 2019

Regulatory Sanctions

Variable Annuities Supervision: Failing to Go ‘The Whole Nine Yards’

April 23, 2019

Regulatory Sanctions

‘Bad Actor’ Broker Impersonated Customers on Calls

April 22, 2019

Wall Street News

Financial Stocks Give Up Last Week's Gains (E*Trade -1.4%, AmEx -1.2%, Citi -0.8%) - Apr. 22

April 22, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of April 22, 2019

April 22, 2019

Regulatory Sanctions

An Opportunity for Elder Abuse: Dual-Employment with Broker-Dealer and its Affiliated Bank

April 22, 2019

Wall Street News

4/18 Weekly Update: Financialish-30-Index Again Beats Standard and Poor's 500

April 21, 2019

Wall Street News

Financials Decline Heading Into Good Friday Holiday (DB -1.7%, MS -1.5%, BCS -1.2%, CS -1.2%) - Apr. 18

April 18, 2019

Wall Street News

JPM's Possible Successors for Dimon, DB's $20Bn Laundering Issue, Citi's Relaxed Stance on Pot … And Other Headlines and Headliners

April 18, 2019

Wall Street News

Financial Stocks Advance (Goldman, JPMorgan Gain ~3%, While BNYMellon Tanks ~10%) - Apr. 17

April 17, 2019

Regulatory Sanctions

Selling Private Securities in a Ponzi Scheme [Part One]

April 17, 2019

Wall Street News

Financials Soar Once Again (BlackRock +3.3%, Citi + 2.9%, CS +2.7%, DB +2.7%) - Apr. 16

April 16, 2019

Regulators

SEC and FINRA Compliance Outreach for Broker-Dealers

April 16, 2019

Wall Street News

Transformative People in Business, FINRA Settlements, Goldman Cuts … And Other Headlines and Headliners

April 16, 2019

Regulatory Sanctions

Conversion of Funds: When Enough Isn’t Enough

April 16, 2019

Hirings/Transitions

FINRA Recent Job Postings, as of April 15, 2019

April 16, 2019

Wall Street News

Financials Fall on Latest Q1 Earnings Reports (Goldman -3.9%, MetLife -1.4%, MStanley -1.3%) - Apr. 15

April 15, 2019

Regulatory Sanctions

FINRA Reports Disciplinary Actions Against 4 Firms, 40 Individuals

April 15, 2019

Wall Street News

Goldman and Citi Earnings, Paulson Transitioning to Family Office, Cyberattack (Un)Insurance … And Other Headlines and Headliners

April 15, 2019

People

Wells Fargo: Top 5 Women Who Could Run the Bank

April 15, 2019

Regulatory Sanctions

UITs: Failed Supervision at Hennion and Walsh

April 15, 2019

General News

APRIL 15: DEADLINE FOR FILING YOUR TAXES

April 15, 2019

Wall Street News

4/12 Weekly Update: Financialish 30 Index Again Beats Standard and Poor's 500

April 13, 2019

Wall Street News

Financials Soar on Strong JPMorgan Earnings (JPM +4.7%, MS +4.3%, BofA +3.8%) (Wells -2.6%) - Apr. 12

April 12, 2019

Wall Street News

Financials Stocks Soar, Wells Advisors Walk, FINRA Files Rules Changes … And Other Headlines and Headliners

April 12, 2019

Regulatory Sanctions

Red Flags Were Flying at Merrill Lynch

April 12, 2019

Wall Street News

Financial Sector Rally Led by Euro Banks (DB +2.3%, UBS +2.0%, CS +1.9%) - Apr. 11

April 11, 2019

Wall Street News

Cybersecurity Risks, Fintech Hiring, Harvard Goes Crypto, Shadow Banking Spotlight … And Other Headlines and Headliners

April 11, 2019

Regulatory Sanctions

An LPL Branch Manager Goes Rogue - Or - Who’s Supervising the Supervisor?

April 11, 2019

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