Posts from January 2019.
Sample Relationship Summary for Investment Advisers and Broker-Dealers: Feedback Generally Positive

The complex nature of investments leaves many retail investors needing assistance from investment professionals to help navigate the endless possible investment opportunities available to them. To satisfy investor needs, many investment professionals associate with broker-dealers, investment advisers, insurance agencies...

Binary Options Scheme: SEC Continues Its Anti-Fraud Efforts

Binary options are securities that pay out depending on the outcome of a "yes/no" proposition. An example proposition would be whether a specific equity security will close at or above a specified price on a given trading day. The...

SEC Settles Touting Charges Against Celebrities Endorsing ICOs

The principle of full disclosure in the marketing of virtual currencies is a recent focus of regulatory bodies as they slowly confirm that these cryptocurrencies are securities or investment products. In a Press Release dated Nov. 29, 2018, the...

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