[In]Securities Guest Blog: When You Don't Know What It Is by Aegis Frumento Esq (BrokeAndBroker.com Blog)

'Panera Karen' claims masks won't stop COVID-19 since pants don't contain farts / Confrontation recorded in viral video (FoxBusiness by Joshua Rhett Miller)

Southwest posts $915 million loss, warns travel demand will remain weak without coronavirus vaccine (CNBC by Leslie Josephs)

SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information / SEC Issues Supplemental Guidance Concerning Proxy Voting Responsibilities of Investment Advisers (SEC Release)

Proxy Voting-Reaffirming and Modernizing the Core Principles of Fiduciary Duty and Transparency to Provide for Better Alignment of Interest Between Main Street Investors and the Market Professionals Who Invest and Vote on Their Behalf (SEC Chair Jay Clayton)

Paying More For Less: Higher Costs for Shareholders, Less Accountability for Management (SEC Commissioner Allison Herren Lee)

Open Meeting to Adopt Amendments to the Proxy Solicitation Rules (SEC Commissioner Elad L. Roisman)

Statement at Open Meeting on Exemptions from the Proxy Rules for Proxy Voting Advice and Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers (SEC Commissioner Hester Peirce)

Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)

Vote for Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)

FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)

Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)

E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)

After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)

CFTC Announces Whistleblower Awards Totaling More Than $1 Million (CFTC Release)

SEC Discloses 30% Maximum Dodd-Frank Award in Whistleblower Order (SEC Order Determining Whistleblower Award Claim)

SEC Discloses 20% Maximum Dodd-Frank Award in Whistleblower Order Now Involving Estate (SEC Order Determining Whistleblower Award Claim)

Two Chinese Hackers Working with the Ministry of State Security Charged with Global Computer Intrusion Campaign Targeting Intellectual Property and Confidential Business Information, Including COVID-19 Research / Indictment Alleges Two Hackers Worked With the Guangdong State Security Department (GSSD) of the Ministry of State Security (MSS), While Also Targeting Victims Worldwide for Personal Profit (DOJ Release)

FINRA Arbitrators Find No Account or Customer Relationship to Support Jurisdiction

In the Matter of the Arbitration Between Southpac Trust, in its capacity as Trustee of the Dragoo Family Trust, dated June 25, 1996, as amended and restated; Washington Capital Partnership, LLLP; and Lincoln Capital Partnership, LLLP, Claimant, v. Cetera Advisors LLC, Respondent (FINRA Arbitration Award)

Bridgewater Over Troubled FINRA Waters (BrokeAndBroker.com Blog)

Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor

(BrokeAndBroker.com Blog)

Vote for Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)

Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)

Wall Street Firms Consider Moving Jobs Out of NYC, Study Says (Bloomberg by Henry Goldman)

SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors (SEC Release)

UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings (SEC Release)

Texas showdown between UBS and top-ranked advisor over $180M book (Financial Planning by Kenneth Corbin)

Miami Beach Man Who Stole Millions from Miccosukee Tribe's Casino and Woman Who Helped Him Launder It Sentenced to Federal Prison Terms (DOJ Release)

SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors (SEC Release)

Virginia Fraudster Pleads Guilty in U.S. District Court in Maryland to Federal Charges of Wire Fraud and Investment Adviser Fraud in Connection with a Scheme to Steal More Than $6 Million / Financial Advisor in Wealth Management Section of Global Investment Bank Used Stolen Victim Funds to Pay His Own Lifestyle Expenses, Including Country Club Membership Fees (DOJ Release)

SEC Seeks Briefing On Supervisory/Principal Bar At BDs for Petitioner Seeking RIA Roles

In the Matter of the Application of Fred F. Liebau, Jr. (SEC Order)

CFTC Orders Florida Company to Pay $75,000 for Registration Violations (CFTC Release)

FINRA Imposes Censure and Fine on Firm for Failing to Qualify and Register Traders

In the Matter of Precision Securities, LLC, Respondent (FINRA AWC)