{"id":1204,"date":"2022-02-09T16:13:12","date_gmt":"2022-02-09T16:13:12","guid":{"rendered":"http:\/\/localhost\/?p=1204"},"modified":"2022-02-09T16:13:12","modified_gmt":"2022-02-09T16:13:12","slug":"huckleberry-finra-and-life-on-the-missisecippi-mark-twain-finra-sec-cftc-and-nasaa-enforcement-actions-november-and-december-2021","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/02\/09\/huckleberry-finra-and-life-on-the-missisecippi-mark-twain-finra-sec-cftc-and-nasaa-enforcement-actions-november-and-december-2021\/","title":{"rendered":"Huckleberry FINRA and Life on the MissiSECippi: Mark Twain, FINRA, SEC, CFTC and NASAA Enforcement Actions (November and December 2021)"},"content":{"rendered":"

From\u00a0Brian Rubin<\/a>\u00a0and\u00a0Amanda C. Oliveira<\/a> in this month’s column for NSCP\u00a0Currents<\/em>:<\/p>\n

Samuel Langhorne Clemens, d\/b\/a Mark Twain, was the author of many outstanding (and often humorous) books and short stories that had good guys (e.g., Huck, Jim and Tom), bad guys (e.g., Pap Finn; the Duke and the Dauphin, who were the equivalent of the 19th century boiler room fraudsters), self-regulators (e.g., Aunt Polly and the Widow Douglas), an actual Judge (well, fictional, but you know what we mean) (Judge Thatcher, father of Becky), and sanctions (the Duke and the Dauphin are tarred and feathered \u2013 a bit different from being censured or ordered to cease and desist). In other words, his stories sound a lot like some of the securities enforcement cases we regularly read.<\/p>\n

Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

From\u00a0Brian Rubin\u00a0and\u00a0Amanda C. Oliveira in this month’s column for NSCP\u00a0Currents: Samuel Langhorne Clemens, d\/b\/a Mark Twain, was the author of many outstanding (and often humorous) books and short stories that had good guys (e.g., Huck, Jim and Tom), bad guys (e.g., Pap Finn; the Duke and the Dauphin, who were the equivalent of the 19th … Continue reading Huckleberry FINRA and Life on the MissiSECippi: Mark Twain, FINRA, SEC, CFTC and NASAA Enforcement Actions (November and December 2021)<\/span> →<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,21,22],"tags":[],"class_list":["post-1204","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t