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MktProFin
@mktprofin.bsky.social
32 followers 290 following 24 posts
The Marketplace Powering America's Financial Elite
MktProFin Directory. We’ve built a smart, centralized platform for Financial professionals
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MktProFin @mktprofin.bsky.social · 15d
Trump Accounts For Children: A Calm, Practical Look For Parents
If the government and a private donor offered your child $1,250 to invest for their future, would you say no because the account is called a “Trump account”.
mktprofin.com/trump/trump-...
#trump #mktprofin #parents #trumpaccount #news
mktprofin.bsky.social
Trump Accounts For Children: A Calm, Practical Look For Parents
If the government and a private donor offered your child $1,250 to invest for their future, would you say no because the account is called a “Trump account”.
mktprofin.com/trump/trump-...
#trump #mktprofin #parents #trumpaccount #news
December 10, 2025 at 5:40 PM
mktprofin.bsky.social
The U.S. Securities and Exchange Commission just released its 2026 Examination Priorities and the spotlight has shifted. This year, the focus lands squarely on fiduciary duty, conflicts of interest,
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#wallstreet #sec #brokerdealer #mktprofin
SEC Examination Priorities for 2026 Signal a Tougher Compliance Environment
The SEC’s 2026 examination priorities focus on fiduciary duty, conflicts of interest, fee-expense practices, retail-investor protection, cybersecurity, AI oversight, and private-fund compliance. Firms...
mktprofin.com
December 2, 2025 at 5:14 PM
mktprofin.bsky.social
The Credit Card King Who Thought FINRA Was Too Busy to Notice
Let’s call him “Mr. Totally-Trustworthy.”
This hero spent $177,962.80 of his firm’s money on personal expenses.
mktprofin.com/finra/broker...
#wallstreet #finra #fraud #complance #mktprofin
November 21, 2025 at 6:21 PM
mktprofin.bsky.social
Why Industrial Automation Has a High Certainty of Growth in 2026
The 2026 market outlook points to steady global returns of roughly 6–7 percent, but one sector stands out: the industrial automation sector 2026.
mktprofin.com/industrial-a...
#Robotics
#AIinManufacturing
#AutomationTechnology
November 14, 2025 at 7:12 PM
mktprofin.bsky.social
Dinner, Drinks, and a $10 Million Tab
Inside this Broker Dealer’s Fine That Reads Like a Compliance Thriller
Over a Chicago steakhouse, the lights go out. Brokers clink glasses at a table as someone hands the maître d
mktprofin.com/first-trust-...
#finra #compliance #compensation #mktprofin #brokers
November 12, 2025 at 7:33 PM
mktprofin.bsky.social
50 Year Mortgages: Smart Tool or Slow Motion Risk for Your Clients?
50 year mortgages are entering the conversation as a new tool for housing affordability
mktprofin.com/50-year-mort...
#mortgages #mktprofin #50yearmortgage #wallstreet #afordablehousing
50 Year Mortgages: Smart Tool or Slow Motion Risk for Your Clients?
Learn how 50-year mortgages affect housing affordability, client risk, and your advisory role, and get a clear checklist to guide client conversations
mktprofin.com
November 10, 2025 at 9:17 PM
mktprofin.bsky.social
Treasury Signals Higher Borrowing. What RIAs Should Watch

The Treasury Borrowing Advisory Committee projects $5.235 T in receipts and $7.01 T in outlays for FY 2025, recommending
mktprofin.com/treasury-bor...

#USTreasury #FixedIncome #BondMarkets #RIAs #InvestmentStrategy #FiscalPolicy
Treasury Borrowing Advisory Committee Hints at Higher Issuance: What Advisors Should Watch
The U.S. Department of the Treasury’s Borrowing Advisory Committee projects $5.235 trillion in receipts and $7.01 trillion in outlays for FY 2025. Discover how this affects bond yields, interest rate ...
mktprofin.com
November 7, 2025 at 7:15 PM
mktprofin.bsky.social
Getty Images vs. Stability AI: The UK Ruling That Redefines Copyright in the Age of Generative AI
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#Copyright
#IntellectualProperty
#AILicensing
#GenerativeAI
#MediaLaw
#Compliance
#FinReg
#SecuritiesLaw
#DigitalAssets
#GettyImages
#StabilityAI
#MktProFin
Getty Images vs. Stability AI: The UK Ruling That Redefines Copyright in the Age of Generative AI
The Getty Images vs. Stability AI ruling reshapes copyright, AI licensing, intellectual property, content ownership, and image generation laws, impacting how media and investors navigate the future of...
mktprofin.com
November 5, 2025 at 5:54 PM
mktprofin.bsky.social
How the Stock Market in 2025 Feels a Lot Like 2018
Déjà Vu on Wall Street
The outlook for the market in 2025 is similar to that of 2018: robust performance concealing structural stress.

mktprofin.com/how-the-stoc...
#wallstreet #stockmarket #mktprofin #ai
November 4, 2025 at 4:04 PM
mktprofin.bsky.social
Why Micro Cap Stocks Matter and Why They Keep Getting Themselves Sued
Fly-E Group, Inc. (FLYE) is currently facing a class-action lawsuit in a growing list of small cap firms accused of misrepresent mktprofin.com/why-micro-ca...
#wallstreet #mktprofin #finra #sec #microcap
November 3, 2025 at 7:04 PM
mktprofin.bsky.social
The $14 B Coffee Break: How Washington’s Shutdown Tax Hits Wall Street
A Billion Dollar Pause Button
Bravo, America! We have discovered a new method to spend $14 billion without launching a single product.
mktprofin.com/the-14-b-cof...
The $14 B Coffee Break: How Washington’s Shutdown Tax Hits Wall Street
The U.S. government shutdown could shave up to two percentage points off Q4 2025 GDP impact roughly $7–14 billion. For markets, that means slower growth, delayed data, and another excuse for volatilit...
mktprofin.com
October 30, 2025 at 7:31 PM
mktprofin.bsky.social
Unsupervised Accounts and Unsupervised Common Sense: Another Broker Dealer Gets Fined
Let’s play the game of “What The hell is happening Here”. FINRA, Rule 3110, monitoring, noncompliance, and outside brokerage accounts.
mktprofin.com/rule-3110/un...
#finra #rule3110 #mktprofin #wallstreet #news
Unsupervised Accounts and Unsupervised Common Sense: Another Broker Dealer Gets Fined
FINRA fined broker dealer for $100,000 for supervision failures over undisclosed outside brokerage accounts. The case shows how Rule 3110 lapses turn into full-blown compliance failures.
mktprofin.com
October 29, 2025 at 5:26 PM
mktprofin.bsky.social
The SEC, Wells Notice, compliance, enforcement, and investigations. Five words that strike fear into legal teams that thought “it’s only a technical issue” was a winning defense strategy. Sorry. Not anymore.
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#sec #enforcement #investigations #mktprofin.com
SEC Turns Up the Heat: Wells Notices Aren’t “Technical Issues” Anymore
The SEC is overhauling its Wells Notice process. Firms that once brushed off investigations as minor issues now face tougher enforcement and higher stakes.
mktprofin.com
October 27, 2025 at 2:13 PM
mktprofin.bsky.social
This is the end of Broker Dealers Over Foreign Pump-and-Dump Schemes. The broker-dealer community is once again under the microscope. FINRA has launched investigations into firms
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#wallstreet #finra #pumpanddump #ipo
FINRA is investigating broker-dealers tied to foreign micro-cap IPOs amid rising pump-and-dump risks. Learn what firms must do to strengthen due diligence.
October 24, 2025 at 2:17 PM
mktprofin.bsky.social
Market Momentum Returns: Five Trends Asset Managers and Broker Dealers Can’t Ignore. The markets are waking up again, and the latest asset management trends show where money and regulation are headed next.
mktprofin.com/market/marke...
Market Momentum Returns: Five Trends Asset Managers and Broker Dealers Can’t Ignore
From equities to digital assets, five trends are reshaping 2025 for asset managers and broker-dealers. Learn how to adapt before markets shift again
mktprofin.com
October 22, 2025 at 5:57 PM
mktprofin.bsky.social
Leveraged ETF Mania: When 2× Isn’t Enough for Wall Street
The U.S. Securities and Exchange Commission (SEC) says it’s “unclear”
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mktprofin.com/uncategorize...
#stocktmarket #etf #sec #mktprofin #news
October 21, 2025 at 1:14 PM
mktprofin.bsky.social
The 12-Second Heist That Proves Crypto Is Still the Wild West
Wall Street loves efficiency. But even the fastest HFT desks would blush at a 12-second trade that netted millions. That’s what two brothers allegedly
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#wallstreet #crypto #fraud #court #mktprofin
The 12-Second Heist That Proves Crypto Is Still the Wild West
Two brothers allegedly hacked Ethereum in 12 seconds. What happened next shows why crypto still operates like an unregulated casino
mktprofin.com
October 20, 2025 at 5:27 PM
mktprofin.bsky.social
Unregistered Firms Under Fire: Because Who Needs Rules Anyway? shady “private placement” hustlers, crypto cowboys, and pop-up financial gurus promising “institutional-grade returns” with no actual institution in sight. Read More
mktprofin.com/fraud/unregi...

#fraud #sec #finra #crypto #stocks
Unregistered Firms Under Fire: Because Who Needs Rules Anyway?
Regulators launched 345 investigations into unregistered firms and 1,000 unlicensed individuals. Turns out “forgetting to register” isn’t a business strategy, it’s an indictment waiting to happen.
mktprofin.com
October 17, 2025 at 1:46 PM
mktprofin.bsky.social
How to Choose a Securities Lawyer for Your Practice
Choosing a Securities Lawyer for Your Practice is one of the most crucial elements of your business as a financial professional Read More
mktprofin.com/how-to-choos...
#securitieslawyer #financial #wallstreet #business #mktprofin
How to Choose a Securities Lawyer for Your Practice
Find the right securities lawyer for your RIA or independent practice. Learn what to look for in legal support for compliance, disputes, and business growth.
mktprofin.com
October 16, 2025 at 3:14 PM
mktprofin.bsky.social
Which Model is Right for You: RIA, IAR, or Broker-Dealer?
As a financial professional, deciding on the best route to independence might be difficult, but it does not have to be.
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#wallstreet #ria #iar #mktprofin #independent #news #business
Choosing the Right Independence Model - MktProFin
Explore the pros and cons of going independent as an RIA, IAR, or broker-dealer rep. Discover your best path and avoid costly missteps in 2025.
mktprofin.com
October 15, 2025 at 2:54 PM
mktprofin.bsky.social
FINRA Slaps Brokers for Misusing Complex ETNs Under Reg BI
FINRA has penalized many financial advisors for recommending volatility linked exchange traded notes (ETNs)
#StockMarket #FinancialFreedom #Regulation #mktprofin #finra #financialadvice #etn #news

mktprofin.com/suspension/f...
FINRA Slaps Brokers for Misusing Complex ETNs Under Reg BI - MktProFin
FINRA penalizes brokers for selling volatility linked ETNs without understanding their risks. Another reminder that under Reg BI, ignorance isn’t a defense.
mktprofin.com
October 13, 2025 at 4:36 PM
mktprofin.bsky.social
SEC Goes on Vacation and Markets Keep Filing Anyway
The latest action by the SEC? A good slumber at the right time. Thanks to the government shutdown, the agency is running on a skeleton crew but the markets.....
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#stockmarket #sec #ipo #mktprofin #news
SEC Goes on Vacation and Markets Keep Filing Anyway - MktProFin
With the SEC half asleep during a shutdown, IPOs are auto-approving, CAT rules are loosening, and issuers are quietly rewriting the playbook. Compliance waits for no one except maybe Washington.
mktprofin.com
October 10, 2025 at 1:34 PM
mktprofin.bsky.social
It appears that the markets needed a bit more southern hospitality, which is why the SEC just approved the Texas Stock Exchange (TXSE). By the time trading begins in 2026, Wall Street may want to start perspiring.
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#wallstreet #texas #stockexchange #mktprofin
October 9, 2025 at 1:23 PM
mktprofin.bsky.social
Nasdaq Wants to Tokenize Wall Street. What Could Possibly Go Wrong?

The good news is that tokenization has a seductive tone. Fintech’s greatest hits CD includes fractional ownership, real-time clearing, quicker settlement
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mktprofin.com/nasdaq-wants...
#nasdaq #crypto #tkenize #mktprofin
October 8, 2025 at 6:11 PM