MSRB | Jotup

SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program

Retrieved on:

Friday, September 29, 2023

MSRB, Municipal Securities Rulemaking Board, Municipality, Financial Industry Regulatory Authority, Information, FINRA, Security (finance), Policy, Pi bond, Financial adviser

Washington, D.C.--(Newsfile Corp. - September 29, 2023) - The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.

Key Points:

Washington, D.C.--(Newsfile Corp. - September 29, 2023) - The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.
The program will provide municipal market participants an opportunity to hear from staff of the SEC, MSRB, and FINRA on timely regulatory and compliance matters for municipal advisors and dealers.
It will be a great program, and I am really looking forward to the new expanded scope."
For those who cannot attend the live virtual program, the recording will be archived on the SEC's Office of Municipal Securities' webpage at https://www.sec.gov/municipal/municipal-sec-conferences , for later viewing.

SEC, MSRB, FINRA to Hold Virtual Compliance Outreach Program

Retrieved on:

Friday, September 29, 2023

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.

Key Points:

The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals.
The program will provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.
It will be a great program, and I am really looking forward to the new expanded scope."
For those who cannot attend the live virtual program, the recording will be archived on the SEC's Office of Municipal Securities' webpage at https://www.sec.gov/municipal/municipal-sec-conferences , for later viewing.

Joseph Gunnar Announces Appointment of Sean Corcoran as Head of Equity Capital Markets

Retrieved on:

Tuesday, July 11, 2023

Joseph Gunnar & Co., LLC (“JGUN”), a leading full-service broker-dealer, investment adviser, and investment bank focused on the emerging growth markets, continues to expand the capabilities of its growing investment banking practice with the addition of industry veteran Sean Corcoran as Head of Equity Capital Markets.

Key Points:

Joseph Gunnar & Co., LLC (“JGUN”), a leading full-service broker-dealer, investment adviser, and investment bank focused on the emerging growth markets, continues to expand the capabilities of its growing investment banking practice with the addition of industry veteran Sean Corcoran as Head of Equity Capital Markets.
Mr. Corcoran brings over three decades of equity capital market experience.
Davidson, where he was instrumental in enhancing the firm’s origination, distribution, and placement of lead-managed and co-managed deals.
Joseph Gunnar & Co., LLC’s affiliate Buttonwood fund also offers suitable individual and entity investors membership interests in pre-IPO venture investments.

Dominari Securities CEO, Kyle Wool, Shares Positive View of IPO Market on "Varnay & Co."

Retrieved on:

Friday, June 30, 2023

Morgan Stanley, IPO, Wall Street, Federal, CRS, MSRB, Mission, Fox Business, FDIC, Federal Reserve, Investment, FINRA, Security (finance)

Wool provided expert opinion on the state of the pre-IPO and IPO market and where he sees opportunity for investors.

Key Points:

Wool provided expert opinion on the state of the pre-IPO and IPO market and where he sees opportunity for investors.
Dominari Securities is a full-service boutique investment bank catering to growth-minded, high-net worth individuals, family offices, small-to-midsized institutions, entrepreneurs, and founders.
Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.
Information for Dominari Securities LLC and its registered investment professionals as well as its SEC Form CRS may also be found on FINRA's BrokerCheck site.

Dominari Securities CEO, Kyle Wool, Discusses the IPO Market on "The Claman Countdown"

Retrieved on:

Wednesday, June 21, 2023

Morgan Stanley, IPO, Interview, Wall Street, CRS, MSRB, Mission, Fox Business, FDIC, Investment, FINRA, Security (finance)

Wool provided expert opinion on the sectors with the most pre-IPO potential and where he sees opportunity for investors during a lively discussion with show host, Liz Claman.

Key Points:

Wool provided expert opinion on the sectors with the most pre-IPO potential and where he sees opportunity for investors during a lively discussion with show host, Liz Claman.
Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.
You can check the background of Dominari Securities and its registered investment professionals and review its SEC Form CRS on FINRA's BrokerCheck site at https://brokercheck.finra.org .
Information for Dominari Securities LLC and its registered investment professionals as well as its SEC Form CRS may also be found on FINRA's BrokerCheck site.

Kyle Wool, CEO of Dominari Securities, To Appear on Fox Business' Mornings With Maria Today

Retrieved on:

Monday, June 5, 2023

Morgan Stanley, Wall Street, CRS, MSRB, Mission, Fox Business, FDIC, Investment, FINRA, Financial adviser, Security (finance)

NEW YORK, June 5, 2023 /PRNewswire/ -- Dominari Holdings Inc., d/b/a Dominari Inc. (Nasdaq: DOMH) announced that Kyle Wool, CEO of Dominari Securities LLC, its wholly-owned broker-dealer and registered investment advisor subsidiary, is scheduled to appear as a guest this morning on "Mornings With Maria."

Key Points:

NEW YORK, June 5, 2023 /PRNewswire/ -- Dominari Holdings Inc., d/b/a Dominari Inc. (Nasdaq: DOMH) announced that Kyle Wool, CEO of Dominari Securities LLC, its wholly-owned broker-dealer and registered investment advisor subsidiary, is scheduled to appear as a guest this morning on "Mornings With Maria."
"Mornings With Maria" is Fox Business' highly rated program that breaks down the latest in financial news and political headlines.
Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.
Information for Dominari Securities LLC and its registered investment professionals as well as its SEC Form CRS may also be found on FINRA's BrokerCheck site.

Kyle Wool, CEO of Dominari Securities, To Appear on Fox Business' Varnay & Co. Today

Retrieved on:

Tuesday, May 30, 2023

Morgan Stanley, Wall Street, CRS, MSRB, Mission, Fox Business, FDIC, Varney, SIPC, Investment, FINRA, Security (finance), Financial adviser

"Varnay & Co." is Fox Business' highly rated program that breaks down the latest in financial news and political headlines.

Key Points:

"Varnay & Co." is Fox Business' highly rated program that breaks down the latest in financial news and political headlines.
Wool will provide expert opinion on numerous topics impacting the broader economy and investor community.
Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.
Securities brokerage, investment adviser and other non-bank deposit investments are not FDIC insured and may lose some or all of the principal invested.

Dominari Inc. Expands Kyle Wool's Role at Company to Include CEO of Dominari Securities

Retrieved on:

Wednesday, May 24, 2023

Morgan Stanley, CRS, MSRB, Mission, FDIC, Acquisition, Investment, FINRA, Security (finance), Financial adviser

NEW YORK, May 24, 2023 /PRNewswire/ -- Dominari Holdings Inc., d/b/a Dominari Inc. (Nasdaq: DOMH) announced today that Mr. Kyle Wool has been appointed as CEO of Dominari Securities LLC.

Key Points:

NEW YORK, May 24, 2023 /PRNewswire/ -- Dominari Holdings Inc., d/b/a Dominari Inc. (Nasdaq: DOMH) announced today that Mr. Kyle Wool has been appointed as CEO of Dominari Securities LLC.
Dominari Securities is the wholly-owned broker dealer and registered investment advisor, of the parent company, Dominari Holdings.
Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.
Information for Dominari Securities LLC and its registered investment professionals as well as its SEC Form CRS may also be found on FINRA's BrokerCheck site.

Odeon Capital Continues Growth with Head of US Rates Hire

Retrieved on:

Tuesday, May 2, 2023

Consulting, Banking, Professional Services, Finance, HSBC, Salomon Brothers, MSRB, Research, Broker-dealer, SIPC, FINRA, Growth, Entrepreneurship, Citibank, NFA, Odeon, Capital Group Companies, Financial adviser, Security (finance)

Odeon Capital Group LLC (“Odeon”), a New York-based independent Broker-Dealer with trading, investment banking, and research services, has rehired Stefan D’Annibale as the Head of US Rates Sales and Trading to optimize and continue to grow the firm’s treasury business.

Key Points:

Odeon Capital Group LLC (“Odeon”), a New York-based independent Broker-Dealer with trading, investment banking, and research services, has rehired Stefan D’Annibale as the Head of US Rates Sales and Trading to optimize and continue to grow the firm’s treasury business.
Mr. D’Annibale, former Head of North American Rates Trading at HSBC, brings over 25 years of sales and trading experience at large money banks and hedge funds.
His experience also includes roles at Salomon Brothers, MKP Capital Management, LLC., and Citibank.
"I'm very excited to re-join Odeon to work with Evan and the team to build a larger presence in the US Government bond markets.

Dominari Financial CEO, Kyle Wool, Scheduled to Appear on Fox Business Network's "Mornings with Maria" on April 27

Retrieved on:

Thursday, April 27, 2023

Morgan Stanley, CRS, MSRB, Mission, Wall Street, FDIC, Wealth management, SIPC, Investment, Broker, FINRA, Security (finance)

Wool is a successful Wall Street veteran, having held numerous positions across leading firms in private wealth management and asset management.

Key Points:

Wool is a successful Wall Street veteran, having held numerous positions across leading firms in private wealth management and asset management.
At Dominari Financial, he is focused on building a dynamic and modern financial services organization that is at the forefront of wealth creation and preservation.
Dominari Financial offers Securities Brokerage and Registered Investment Adviser Services through Dominari Securities LLC, its wholly-owned subsidiary, and a Member of FINRA, MSRB, and SIPC.
You can check the background of Dominari Securities and its registered investment professionals and review its SEC Form CRS on FINRA's BrokerCheck site at https://brokercheck.finra.org .