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Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

News Update: SEC Provides Road Map for Investment Advisory Firm Examinations

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

Regulatory News Update: SEC Probes Investment Adviser Electronic Communications

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

Regulatory News Update: SEC Announces Rule Proposal Targeting AI-Driven Conflicts of Interest

What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]

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San Francisco-based Coinbase makes Wall Street Debut

KTVU's Alex Savidge spoke with Mitch Avnet, Managing Partner at Compliance Risk Concepts, about Coinbase......

Pros and cons of investing in bitcoin

Mitch Avnet, founder of Compliance Risk Concepts, explains the surging popularity behind bitcoin and whether......

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LATEST ARTICLES & VIDEOS

Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

September 29, 2023

News Update: SEC Provides Road Map for Investment Advisory Firm Examinations

September 28, 2023

Regulatory News Update: SEC Probes Investment Adviser Electronic Communications

September 26, 2023

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