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Your search for ‘Shustak Reynolds’ returned 6 results

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  • Article

    Other People's Money – The Rise Of Fraud In The Crypto & NFT Worlds With Erwin Shustak

    Erwin Shustak, founder and Managing Partner of Shustak Reynolds & Partners, who for more than 30 years served as an arbitrator for the Financial Industry Regulatory Authority...
    United KingdomTechnology
    IR Global
    IR Global
  • Article

    Navigating The Aftermath: Financial Advisor Terminations And The Form U5

    Being fired is never easy, but it is a particularly challenging and uncertain time for licensed financial advisors and their clients.
    United StatesFinance and Banking
    Shustak Reynolds
    Shustak Reynolds
Article

SEC Rules 3a5-4 And 3a44-2 Requiring Registration Of Liquidity-Providing Persons As "Dealers"

On February 6, 2024, the Securities and Exchange Commission ("SEC") adopted Rules 3a5-4 and 3a44-2 ("Final Rules") defining the phrase "as a part of a regular business" and identifying...
United StatesCompliance
Shustak Reynolds
Shustak Reynolds
  • Article

    SEC Announces 2024 Examination Priorities

    On October 16, 2023, the SEC's Division of Examinations issued its annual Examination Priorities ("Exam Priorities") for fiscal year 2024.
    United StatesTechnology
    Shustak Reynolds
    Shustak Reynolds
  • Article

    New Reporting Requirements Under The Corporate Transparency Act

    Beginning January 2024, several new laws began to take effect, impacting various professionals - specifically those U.S. businesses and entities who file documents...
    United StatesCorporate/Commercial Law
    Shustak Reynolds
    Shustak Reynolds
  • Article

    The Securities And Exchange Commission Announces New Set Of Private Fund Rules

    On August 23, 2023, the Securities and Exchange Commission ("SEC") adopted new rules regarding the regulation of private funds and their advisors, providing an update to the existing...
    United StatesFinance and Banking
    Shustak Reynolds
    Shustak Reynolds

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