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Texas Firm, Suspended Rep Are FINRA s Latest Reg BI Targets

Texas Firm, Suspended Rep Are FINRA s Latest Reg BI Targets
wealthmanagement.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from wealthmanagement.com Daily Mail and Mail on Sunday newspapers.

United statesRobert gleason jrAdam polletEversheds sutherlandCantella coBest interestCare obligationMurray securitieRobert gleason

Court Should Consider Children When Deciding True Threat Test

Kids make mistakes on social media but shouldn’t face federal felony charges for posts taken out of context, Human Rights for Kids’ Emily Virgin and Eversheds Sutherland’s Adam Pollet say. The Supreme Court should adopt a totality of the circumstances test when considering a true threat so children aren’t caught up in federal court.

United statesEmily virginSamuel alitoAdam polletEversheds sutherlandBrett kavanaughBloomberg industry group incSupreme courtUs supreme courtNew england patriotsKansas cityBilly raymond countermanFirst amendmentJustices samuel alitoBloomberg industry groupBloomberg law

Dear SEC: The compliance community wants to be a partner, not a target

Dear SEC: The compliance community wants to be a partner, not a target
complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.

Jeffrey kirkpatrickBrian rubinHester peirceEversheds sutherlandAdam polletNational society of compliance professionalsYork city bar associationNew york city bar associationNational societyCompliance professionals

FINRA Fines Jump 60% in 2021 While Case Numbers Drop Slightly

FINRA's total amount of fines jumped 60% in 2021, largely due to a huge fine against Robinhood, according to an analysis from partners at Eversheds Sutherland.

Brian rubinEversheds sutherlandAdam polletExchange commissionFinancial industry regulatory authorityAmerican securities administrators associationWall streetDisciplinary actions online databaseRegulation best interest

POLITICO Playbook: Infrastructure day: What to watch for in Biden s one-on-one with Capito

And Democrats notch a solid victor in a New Mexico special election.

United statesNew yorkWhite houseDistrict of columbiaGlover parkMontgomery countyNew mexicoEastern marketWest virginiaNew zealandAlexandra berzonJoe bidenEmily hardman rodgersTara palmeriJackson robert dennenChristopher dennen

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