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Many companies throughout Pennsylvania do their parts to have a diverse workforce. Unfortunately, not every business is experiencing the benefits of having a diverse team of employees. With that in mind, the SEC recently approved new Nasdaq rules that could put an end...
Traditionally, many brokerage firms in Pennsylvania and around the country worked on commission or fees. When someone placed an order to buy stock, the brokerage added a charge for that action. In recent years, services like Robinhood introduced trading with no...
When an insurance claim is denied in Pennsylvania, the first thing to determine is whether the plan falls under the Employee Retirement Income Security Act. This act, passed by Congress in 1974, allows companies to self-fund insurance programs. This means the company...
To avoid making bad investments in Pennsylvania, you should check with FINRA's online database to vet a potential broker you want to work with. This database contains all the disclosure information about brokers and securities firms, including other customers'...
FINRA is very helpful to those that live in Florida and throughout the United States. They make sure that there is integrity behind the financial system in America. The Securities and Exchange Commission surprises them, and all of this gets done without the taxpayers...
The Securities and Exchange Commission (SEC) establishes regulations for buying and selling securities, which include stocks and bonds, to prevent investment fraud. Securities fraud is classified as a white-collar crime, or a nonviolent financial scheme. Two common...
Some employees are given a 401(k) retirement plan as part of their compensation package. Employees are usually asked to commit a percentage of their paychecks each pay period to this account. When this process works as normal, the employer might offer to match it, and...
The Securities and Exchange Commission regulates tradable financial tools, or securities, such as stocks and bonds. Insider trading is a familiar term to many stock traders in Pennsylvania. Many people still associate insider trading with fraud, but not all of it is...
Residents of Pennsylvania who have investments should be aware of certain actions that are not allowed by investment brokers. This conduct, as stated by FINRA, is strictly prohibited. Illegal actions to watch out for Knowing which actions are legal, and which ones are...
Securities law in Altoona, Pennsylvania, helps regulate the buying and selling of stocks, shares, bonds, and other investments to prevent fraud. Congress enacted these laws in 1933 after the stock market crash of 1929. A common breach of securities law includes...
