Retail Investing
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How Regulators Might Monitor Trading Frenzy: Former NY SEC director
Andrew Calaman, former SEC NY office director, joins “Squawk on the Street” to discuss how regulators could be monitoring the Reddit-fueled market frenzy. Subscribe to CNBC Pro to access our …
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Is the Retail Investor Revolution Unraveling?
FT markets editor Katie Martin looks at what has happened since so-called retail traders and amateur have-a-go investors bet against GameStop, and whether they really understand the market risks.…
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This Retail Trading Frenzy Isn’t Over: Analyst Rich Repetto
Piper Sandler’s Rich Repetto on what’s next for the retail trader. With CNBC’s Melissa Lee and the Fast Money traders, Guy Adami, Tim Seymour, Dan Nathan and James McDonald.…
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Former SEC Commissioner on GameStop Frenzy: Certainly Valid Questions About Market Manipulation
Former SEC Commissioner Laura Unger discusses what steps regulators should take to avert another GameStop short squeeze frenzy situation.…
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Sen. Warren on GameStop Frenzy: We Need Clear Rules on Market Manipulation
Senator Elizabeth Warren (D-Mass.) weighs in on GameStop’s recent surge and how the market has turned into a casino where people make money manipulating the markets.…
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TD Ameritrade’s Market Strategist: Restrictions Due to ‘Unparalleled Volatility’
CNBC’s “Power Lunch” discusses how brokers are implementing restrictions on certain names during the retail investor frenzy with JJ Kinahan, chief market strategist at TD Ameritrade.…
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Former SEC Regulator on What Regulations May Be Needed Amid GameStop Volatility
CNBC’s “Squawk on the Street” team discusses the SEC versus Reddit traders fueling a short squeeze in stocks like GameStop, with Amy Lynch, founder of FrontLine Compliance and former SEC …
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Robinhood Sets Aside $26 Million to Cover SEC, FINRA Fines
By Aziz Abdel-Qader
February 27, 2021, Finance Magnates
Robinhood faces regulatory investigations on multiple fronts, including over its prior restrictions that banned retail investors from buying shares in red-hot GameStop …
SEC Amps Up Reg BI Exams
By Melanie Waddell
February 25, 2021, ThinkAdvisor
Regulation Best Interest exams have moved beyond a “good faith” compliance assessment, John Polise, associate director of the Securities and Exchange Commission’s National …
The SEC Should Have Used Its Trading Suspension Authority’: Dickinson Wright Chair on GameStop
Dickinson Wright Chair, Government Investigations and Securities Enforcement Practice and Former Senior Counsel in the SEC’s Division of Enforcement Jacob S. Frenkel joins Yahoo Finance Live to discuss the regulatory …
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