BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Wall Street News
- Investments - Private
- Rules & Regulations
- Bad Advisors
- Boiler Rooms
- Terminations/Cost Cutting
- General News
- Donald Trump & Co.
- Big Banks
- Regulatory Sanctions
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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.
Stay Informed with the latest fanancialish news.
NEWSLETTERS & ALERTS
SITE CONTENT. The Site provides a collection of online resources, including articles, commentaries, forums, blogs, job postings, message boards, e-mail services, webcasts, podcasts and transcripts.
The content published here represents the personal views of the authors of such content, and not necessarily the views of owner or any organization with which owner may be affiliated. All statements contained in the content are for general information only and are not intended to provide, nor should they be relied on as, financial or legal advice. Users must consult with qualified legal counsel and/or financial advisors before relying upon any content published on this site. Please be aware that statements contained in the content may be incorrect or inapplicable to your jurisdiction or, at the time when you read such statements, the underlying rules, regulations and/or decisions may no longer be controlling or persuasive as a matter of law or interpretation.
USE OF CONTENT. You acknowledge that the Site contains information, text, software, photographs, audio and video clips, graphics, links and other material (collectively, the "Content") that are protected by copyright, trademark or other proprietary rights of Owner or third parties. You agree to comply with any additional copyright notices, information, or restrictions contained in any Content available on or accessed through the Site.
VISITOR CONDUCT/DISPUTES. Statements, messages, text, files, images, photos, videos, or other materials ("Materials") posted by visitors to the Site, whether on message boards, blogs or in other formats, are the sole responsibility of the visitor who posted such Materials and reflect the opinions of the visitor who has posted it and not of Owner. Although Owner discourages the use of any Site functionality, including message boards and blogs, for anything other than lawful and constructive discourse, Owner cannot effectively monitor all Materials posted by visitors on the Site and, therefore, makes no representation and warranty with respect to the veracity, reliability or completeness of any such Materials. Accordingly, your reliance on any such Materials shall be at your own risk.
Each visitor to the Site is solely responsible for his/her interactions with other visitors. Owner reserves the right, but has no obligation, to monitor disputes between visitors.
Owner specifically prohibits, and by your use of the Site, you expressly agree not to engage in, the following conduct: the deletion or alteration of any Materials posted on the Site by Owner or a third party; the taking of any action that imposes an unreasonable or disproportionately large load on the Site's infrastructure; using the Site's directory information to post or transmit any unsolicited advertising, promotional materials, junk mail, spam, chain letters, telephone calls or other solicitations; and printing or otherwise copying or using any personally identifiable information about Site visitors or members for purposes other than contacting such visitors or members for industry-related inquiries.
NO ENDORSEMENT. Owner does not represent or endorse the timeliness, accuracy, reliability or completeness of any content on the site and you acknowledge that any reliance upon such content shall be at your sole risk. You acknowledge that in some cases, the content may be misleading, mislabeled or simply inaccurate. The Site may contain links to Web sites which are unrelated to Owner and are owned and operated by third parties (the "third-party sites"). Owner has not reviewed any of the third-party sites which may be linked to the Site, and is not responsible for the contents of, or any products or services offered on, any third-party site.
TERMINATION. Owner reserves the right, in its sole discretion, to restrict, suspend or terminate your access to all or any part of the Site at any time for any reason without prior notice or liability. Owner may change, suspend or discontinue all or any aspect of the Site at any time, including the availability of any feature, database, or Content, without prior notice or liability.
You specifically acknowledge and agree that Owner and its officers, directors, employees and agents are not liable for any defamatory, offensive or illegal conduct of any user. In addition, while Owner intends to take reasonable steps to prevent the introduction of viruses or other destructive materials to the Site, Owner does not warrant, guarantee or make any representations that the Site, or any Content available for downloading on the Site, will be free of viruses or destructive materials and Owner shall not be liable, for any viruses or other destructive materials that may infect your computer equipment or other property on account of your access to, use of, or browsing in the Site or the server that makes it available, or your downloading of any Content from the Site.
LIMITATION OF LIABILITY. To the fullest extent permissible under applicable law, owner and any third party content providers, and its and their respective officers, directors, employees and agents, are not liable for any direct, incidental, consequential, special, indirect or punitive damages arising out of your access to, or use of, or inability to access or use this site, including without limitation damages for harm to business, lost profits, lost savings, or lost revenues, however such damages are caused and whether based in contract, tort (including negligence) or any other theory of liability. The foregoing limitations shall apply regardless of whether owner, any third party content provider, or any of its or their respective officers, directors, employees and agents has been advised of the possibility of such damages.
In the event you transmit, introduce, or otherwise cause any technical disruption of the site or the services transmitting the site to you, you agree to be responsible for any and all liabilities and costs and expenses (including attorneys’ fees and expenses) arising from any and all claims brought by third parties based upon such technical disruptions. "technical disruption" means distribution of unsolicited advertising or chain letters, propagation of computer worms, viruses or other harmful code, and/or using the site to make unauthorized entry to any other machine accessible via the site. You are further solely responsible for the content of any transmissions using the site and agree not to upload, post or otherwise make available on the site any material protected by a proprietary right of a third party without first obtaining the express permission of the owner of such proprietary right. You shall be solely liable for any damages, losses, costs or expenses (including attorneys' fees and expenses) arising out of infringement of proprietary rights or any other harm arising from the uploading, posting or other submission of materials by you.
PASSWORD. When you sign up to become a member of the Site, you may be asked to choose a password. You are entirely responsible for maintaining the confidentiality of your password and will not use the account, user name or password of another member at any time or disclose your password to a third party. You agree to notify Owner immediately if you suspect any unauthorized use of your account or access to your password. You are solely responsible for any and all use of your account.