SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Orders

Stockbroker Law - Tuesday, June 07, 2016
SEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Orders

On May 2, 2016 the SEC’s Office of Investor Education and Advocacy issued an investor bulletin (https://www.sec.gov/oiea/investor-alerts-bul ..

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FINRA Hosts Arbitrator Appreciation Event

Stockbroker Law - Tuesday, May 31, 2016
FINRA Hosts Arbitrator Appreciation Event

Are you interested in becoming a FINRA arbitrator (http://www.finra.org/arbitration-and-mediation/become-arbitrator)? The Financial Industry Regul ..

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Think Twice Against Borrowing Against Your Pension

Stockbroker Law - Tuesday, May 24, 2016
Think Twice Against Borrowing Against Your Pension

The New York State Department of Financial Services (DFS) (http://www.dfs.ny.gov/consumer/pf_pi_update.htm) and the Consumer Financial Protection  ..

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School Law

Stockbroker Law - Tuesday, May 17, 2016
School Law

School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this  ..

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Top Investors Threats Announced By NASAA

Stockbroker Law - Tuesday, May 10, 2016
Top Investors Threats Announced By NASAA

The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of stat ..

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