4 Huge Brokers Charged with Market Gain access to Misbehaviors

Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Interactive Brokers LLC have been censured and fined an overall of $4.75 million for offenses of numerous arrangements of the marketplace gain access to policies (guideline 15c3-5 of the Securities Exchange Act of 1934) and “associated exchange supervisory guidelines,” according to a … [Read more…]

New York City’s Fair Chance Act: Final Rules and Regulations

The FCA Under the FCA, companies with at least 4 staff members are restricted from asking about a job candidate’s criminal history till after a conditional deal of work has been made to the candidate. In addition, companies are forbidden from describing criminal history in job posts, work applications, or any kind of questions throughout … [Read more…]