category sec-securities-litigation Financial Institution Related Topics 
Burr Forman
OCTOBER 15, 2021
In remarks this week at SEC Speaks, SEC Investor Advocate Rick Fleming mused that the “gamification” of securities trading might pose an undue risk that exploits a potential loophole in Regulation Best Interest (“Reg. This past August, the SEC sought information and comment on “gamification.” Recall that Reg.
Burr Forman
FEBRUARY 9, 2021
The SEC warned of “the significant risks of short-term investing based on social media, especially in volatile markets” – and particularly in small-cap stocks and/or with leveraged by margin or options. The SEC Investor Alert (SEC Jan. 29, 2021) is here. Following the Crowd: Investing and Social Media,” (FINRA Jan.
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