RCW Staff
The Follow-Up Group has three important tasks:
•Examine instances of market fragmentation in securities and derivatives markets, and the potential reasons why fragmentation developed.
•Take stock of ...
the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pursuant ...
In reality, First Picks was struggling financially and lacked cash flows to fund operations, making it a risky investment. It routinely required new investor funds ...
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms operating ...
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...
That is, in large part, why we are here today – to rededicate ourselves, across industry segments, and with academia and financial intermediaries to engage ...
It’s equally hard to create a regulatory environment that supports that type of continued innovation. Let us not take the easy road, but the ...