Securities Law

Following the Crowd: Investing and Social Media

February 3, 2023
Following the Crowd: Investing and Social Media

No matter where you get your trading insights, and whether you are following a recommendation to buy stocks, bonds, options or something else, know this: where there is opportunity, there is also risk. Here are 10 tips. From FINRA: Read More

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SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations

February 3, 2023
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations

The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and… Full report at: Read More

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