Financial Industry Regulatory Authority

FDCTech's Quarterly Release for the First Quarter (FY23 Q1) Results

Retrieved on: 
Monday, May 15, 2023
Financial Industry Regulatory Authority, ETF, CIM, Securities Investor Protection Corporation, Education, ADS, Malta Financial Services Authority, Law, Broker-dealer, The Company, SIPC, Companies Act, OTC, FINRA, Contract for difference, Growth, License, AD, Hand, MFSA, Investment Company Act of 1940, Cryptocurrency, Financial services, Financial adviser

Irvine, CA, May 15, 2023 (GLOBE NEWSWIRE) -- FDCTech, Inc. ("FDC" or the "Company," OTCQB: FDCT), a fintech-driven company specializing in buying and integrating small to mid-size legacy financial services companies, today announced the following results for the three months ending March 31, 2023, as compared to the corresponding period of last fiscal year:

Key Points: 
  • During the three months ending March 31, 2023, and 2022, the Company incurred a net loss of $237,176 and $403,944, a decrease of 41% from the previous period.
  • The net loss as a percentage of revenue decreased from 26% to 15% for the three months ending March 31, 2023, compared to the previous period.
  • The cash on hand was $139,844 as of March 31, 2023, compared to $264,829 on December 31, 2022.
  • Please visit our SEC filings or Company's website for more information on the full results and management's plan.

Inter&Co Announces that FINRA Approved Inter&CO Securities LLC to Operate as a US Broker During Nasdaq’s Opening Bell Ceremony

Retrieved on: 
Friday, May 12, 2023
Financial Industry Regulatory Authority, ETF, Torola, Accreditation, Inter, 2017 Rugby League World Cup inter-group matches, RIA, INTR, Real estate investment trust, Registered investment adviser, FINRA, New York Stock Exchange, NYSE, Financial adviser

The announcement was made during Nasdaq's Opening Bell ceremony on Friday, May 12, and marks a significant step in the company’s plans to bring its successful model and platform to the US.

Key Points: 
  • The announcement was made during Nasdaq's Opening Bell ceremony on Friday, May 12, and marks a significant step in the company’s plans to bring its successful model and platform to the US.
  • Bottino will join Cassio Segura, the lead on all US Inter operations and executive partner of the recently acquired YellowFi.
  • Torola has more than 20 years of experience at FINRA and previously served as chief compliance officer at Alpaca Securities and Wealthfront, the leading robo-advisor for young professionals.
  • By the end of the year, we expect these two platforms in both regions to have comparable product offerings,” said Felipe Bottino.

OCC Announces Three New Board Members, Member Elections at Annual Stockholder Meeting

Retrieved on: 
Tuesday, May 9, 2023
Banking, Professional Services, Finance, Citadel, Financial Industry Regulatory Authority, Financial Executives International, Chicago, Senior, Head, Jefferies, ABN, ABN AMRO, Schonfeld Strategic Advisors, Division, National Association, NYSE, Morgan Stanley, Product management, OCC, Vice, General counsel, Flynn, Former, Securities Industry Automation Corporation, FINRA, Andrea Blaugrund Nevins, Entrepreneurship, Product innovation, Business, Wilmer Cutler Pickering Hale and Dorr, Sustainable finance, Vorstand, Jefferies Group, SIAC, ICE, Exchange, Citadel Securities, Maragos, Cboe Global Markets, Intercontinental Exchange, Management, Holding company, Cryptocurrency

Additionally, OCC announced the re-election of Craig S. Donohue as Executive Chairman, the re-election of three Member Directors and appointment of four additional Exchange Directors.

Key Points: 
  • Additionally, OCC announced the re-election of Craig S. Donohue as Executive Chairman, the re-election of three Member Directors and appointment of four additional Exchange Directors.
  • Before joining the firm in 2021, he was the Head of Risk Management for ICE Clear Europe in London.
  • Craig S. Donohue was unanimously re-elected as Executive Chairman of the OCC Board of Directors.
  • The vote took place during OCC’s annual stockholder meeting on April 28.

Virtuoso Surgical Unveils Design of Groundbreaking Robotic Surgery System

Retrieved on: 
Tuesday, May 9, 2023
Biotechnology, Surgery, Health, Medical Devices, Robotics, Hospitals, Health Technology, Technology, ENT, Financial Industry Regulatory Authority, Surgeon, Ear, Elective surgery, BPH, Cadaver, VISE, Bladder cancer, Endoscopy, Doctor of Philosophy, Gynaecology, Sale, Nose, Traction, Neurosurgery, Physician, Uterine fibroid, FACS, Entrepreneurship, Lead (engineering), FDA, III, Urology, Dentistry, Medical device, Engineering, MD

Nashville-based medical device company Virtuoso Surgical, Inc. has unveiled its revolutionary robotic surgery system .

Key Points: 
  • Nashville-based medical device company Virtuoso Surgical, Inc. has unveiled its revolutionary robotic surgery system .
  • “These are groundbreaking maneuvers in endoscopic/endoluminal surgery that are not possible with today’s instruments.”
    The unveiling of the product marks the end of the design stage for Virtuoso Surgical and progress in the regulatory phase.
  • They developed the Virtuoso Surgical system with a design team helmed by COO and Lead Engineer Richard Hendrick, PhD.
  • “Our team set out to bring the stability and dexterity of robotic surgery to the rigid endoscopy space, and we have achieved that with the Virtuoso Surgical system ,” Richard Hendrick, PhD , said.

SEC Announces New Members of Small Business Capital Formation Advisory Committee

Retrieved on: 
Thursday, May 4, 2023
Workforce, Financial Industry Regulatory Authority, University, CO, University of Denver, North American Securities Administrators Association, Norwest Venture Partners, Commission, Advisory Committee, Policy, Small Business Capital Access and Job Preservation Act, General partnership, Tobacco Products Scientific Advisory Committee, Committee, Mariscal, Small Business Administration, Small business, Entrepreneurship, Security (finance), Erica, Financial adviser, Management, Boilermaker, Private investigator, Counsel

Washington, D.C.--(Newsfile Corp. - May 4, 2023) - The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee .

Key Points: 
  • Washington, D.C.--(Newsfile Corp. - May 4, 2023) - The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee .
  • The new members were appointed to four-year terms to fill vacancies arising primarily from the expiration of prior members’ terms.
  • “I thank the new members for agreeing to serve on the Advisory Committee, which plays an important role in our work to facilitate capital formation for companies of every size,” said SEC Chair Gary Gensler.
  • Current Committee members also include three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association, and the Small Business Administration.

Bosonic Securities Receives Approval to Operate a Broker-Dealer and ATS for Digital Asset Securities

Retrieved on: 
Wednesday, April 26, 2023
Blockchain, Software, Payments, Finance, Accounting, Professional Services, Technology, Fintech, Financial Industry Regulatory Authority, ATS, Regulation A, Broker-dealer, Risk, FINRA, Security (finance), Cryptocurrency, Boson

Bosonic Securities, LLC, was recently approved by the Financial Industry Regulatory Authority (FINRA) to operate a broker-dealer and an Alternative Trading System (ATS) for equity and debt securities, including digital asset securities (i.e., securities that use blockchain technology).

Key Points: 
  • Bosonic Securities, LLC, was recently approved by the Financial Industry Regulatory Authority (FINRA) to operate a broker-dealer and an Alternative Trading System (ATS) for equity and debt securities, including digital asset securities (i.e., securities that use blockchain technology).
  • Bosonic Securities was also approved to conduct private placements of equity and debt securities, including digital asset securities that are offered and sold pursuant to Regulation A, D, and S safe harbors from registration with the U.S. Securities and Exchange Commission (SEC).
  • “We believe digital asset securities are the future of financial markets and Bosonic Securities is well positioned to play a leading role in the transformation of the industry from the use of traditional ledgers to blockchain-based technology.
  • By launching an ATS that relies on the technology developed by Bosonic, Inc., which is designed to reduce counterparty credit and settlement risk, Bosonic Securities will deliver more efficiency and lower risk than was possible previously,” said Rosario Ingargiola, CEO of Bosonic, Inc.
    William Karsh, CEO of Bosonic Securities noted, “The approval of Bosonic Securities is an important step in the evolution of the trading of digital asset securities.

COMPLY Launches 2023 CCO Playbook

Retrieved on: 
Tuesday, April 25, 2023
Interview, Commission, RIA, C, CCO, Financial Industry Regulatory Authority, Cyprus Securities and Exchange Commission, Risk, Box, Gebauer, FINRA, Security (finance), Playbook, Financial adviser, Cryptocurrency

NEW YORK, April 25, 2023 /PRNewswire/ -- COMPLY, the leading provider of compliance software, consulting and education resources for the financial services sector, published its 2023 Chief Compliance Officer (CCO) Playbook in conjunction with its portfolio products, ComplySci and RIA in a Box. The annual guide, published in the past by ComplySci, takes an in-depth look at recent and anticipated regulatory compliance changes and their impact on the financial services industry.

Key Points: 
  • Annual guide outlines 2023 expectations, reviews key 2022 rulings and provides industry insights from leaders
    NEW YORK, April 25, 2023 /PRNewswire/ -- COMPLY, the leading provider of compliance software, consulting and education resources for the financial services sector, published its 2023 Chief Compliance Officer (CCO) Playbook in conjunction with its portfolio products, ComplySci and RIA in a Box.
  • Highlights of the 2023 CCO Playbook include:
    The top five regulatory themes for 2023.
  • Gebauer added, "The 2023 edition of COMPLY's CCO Playbook details the kinds of sophisticated risk that will continue to impact the regulatory compliance landscape.
  • Download the 2023 CCO Playbook to learn more about the regulations, risks and strategies shaping today's compliance landscape.

GAMF Annual Conference 2023 Draws To A Successful Close

Retrieved on: 
Tuesday, April 25, 2023
Paulson Institute, Service provider, Harvard University, Suggestion, Policy, BlackRock, Ageing, Strategy, Tsinghua University School of Economics and Management, Research, Treasury, Bank of China, Climate change, School, Tsinghua University, Financial Industry Regulatory Authority, Bank, United States Department of the Treasury, Conference, GIC, Management, Tourism, Economics

BEIJING, April 25, 2023 /PRNewswire/ -- On March 18-19, 2023, the Global Asset Management Forum (GAMF), held its 2023 Annual Conference in Beijing, China.

Key Points: 
  • BEIJING, April 25, 2023 /PRNewswire/ -- On March 18-19, 2023, the Global Asset Management Forum (GAMF), held its 2023 Annual Conference in Beijing, China.
  • The GAMF is a non-governmental global think tank initiated as a response to the deepening high-level opening-up of China.
  • The GAMF plans for the future include continuing their open-door annual conferences, thematic forums and closed-door seminars every year.
  • It is also planning social activities, such as exchange visits, tours, luncheons, dinner parties, and informal meetings to facilitate collaboration among GAMF members.

Joseph Gunnar to Sponsor the Sequire Investor Summit in Puerto Rico

Retrieved on: 
Friday, April 21, 2023
Banking, Asset Management, Professional Services, Finance, IPO, MSRB, Rulemaking, Research, Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, SIPC, Investment, OTC, La Concha Renaissance San Juan Resort, FINRA, Knowledge, Gunnar, Security (finance), Buttonwood

Joseph Gunnar & Co., LLC ("JGUN"), a leading full service broker-dealer, investment adviser and investment bank, focused on the emerging growth markets, is proud to announce its sponsorship of the upcoming Sequire Investor Summit.

Key Points: 
  • Joseph Gunnar & Co., LLC ("JGUN"), a leading full service broker-dealer, investment adviser and investment bank, focused on the emerging growth markets, is proud to announce its sponsorship of the upcoming Sequire Investor Summit.
  • One of the standout highlights of this year's summit is the focus on attractive tax laws in Puerto Rico, which offer a unique tax-friendly environment for both funds and investors.
  • "JGUN is thrilled to be sponsoring the Sequire Investor Summit Puerto Rico," said Chief Executive Officer Joseph A. Alagna.
  • For more information about the Sequire Investor Summit, including registration details, please visit the official event website at https://puertorico.srax.com/
    About Joseph Gunnar & Co.
    Joseph Gunnar & Co., LLC is a full-service boutique investment banking, securities and wealth management firm with main offices in New York.

Integrated Ventures Releases Unaudited Revenue Results And Announces Reverse Stock Split

Retrieved on: 
Friday, April 21, 2023
OTCQB, INTV, Mining, Growth, BTC, Security (finance), Financial Industry Regulatory Authority

PHILADELPHIA, April 21, 2023 /PRNewswire/ -- Today, Integrated Ventures, Inc. (OTCQB: INTV) ("Company") is providing this Corporate Update, regarding Reverse Stock Split and Preliminary Revenue results for Q3/2023:

Key Points: 
  • PHILADELPHIA, April 21, 2023 /PRNewswire/ -- Today, Integrated Ventures, Inc. (OTCQB: INTV) ("Company") is providing this Corporate Update, regarding Reverse Stock Split and Preliminary Revenue results for Q3/2023:
    The Company received approval from Finra to effectuate a 1-for-125 reverse stock split of its outstanding and authorized shares of common stock.
  • Today, INTV's common stock will begin trading on a reverse stock split-adjusted basis on the OTCQB Market, when the stock market opens.
  • For 20 business days, Integrated Ventures's common stock will trade on the OTCQB, under the symbol "INTVD" and then change back to INTV.
  • As a result of the reverse stock split, every one hundred twenty five pre-split shares of common stock outstanding will automatically combine into one new share of common stock, without any action on the part of the shareholders.