The National Association of Securities Dealers has released a notice to "emphasize to members their supervisory and regulatory responsibilities ... when dealing with stocks promoted on the Internet." The NASD sent out the notice after it observed a relationship between increases in the volume of electronic messages about low-priced securities and dramatic increases in the price, volatility and volume of these securities. The notice asks for comment on the use of electronic media to communica
Anthony and James look at developments pertaining to the Consolidated Audit Trail and wonder if big-tech companies could challenge traditional asset managers.Subscribe to Weekly Wrap emails
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