Sentences with phrase «state securities regulators also»

State securities regulators also work with issuers to ensure that securities offerings include legally required disclosures, resulting in a transparent and fluid securities market.

Not exact matches

The settlement was announced on Wednesday by state securities regulators in Massachusetts and Alabama, who said the deal will also ensure that LPL buys back securities that were illegally sold to investors.

A number of commenters also asserted that the rulemaking exceeded the Department's authority or would be better left to other regulators, such as the Securities and Exchange Commission or state insurance commissioners.

It's also a good idea to talk with a few current clients and, of course, check with regulators — the Securities and Exchange Commission, FINRA and your state securities regulator — just to be sure no ugly history of abusing clients lurks behind the best face anyone seeking new business putSecurities and Exchange Commission, FINRA and your state securities regulator — just to be sure no ugly history of abusing clients lurks behind the best face anyone seeking new business putsecurities regulator — just to be sure no ugly history of abusing clients lurks behind the best face anyone seeking new business puts forward.

Investors should also file their complaint with their state securities regulator.

Also consider going to the Web site of the Financial Industry Regulatory Authority (www.finra.org), the largest non-governmental regulator of securities firms operating in the United States.

They also made up 70 % of all the canceled trades during the Flash Crash on May 6, despite representing just 11 % of listed securities in the United States, suggesting that ETFs remain poorly understood by both investors and regulators.

Peter also represents securities brokers and investment advisors before the SEC, all self - regulatory organizations, state securities regulators and attorneys general in investigations relating to supervision, suitability, sales practices and insider trading.

The state regulator said it considers the firm's cryptocurrency mining and trading programs to be unregistered security offerings and, furthermore, that LeadInvest is also using fake stock images to portray its team members.