Skip to content

Eckerle Law

  • Firm
  • MY PRACTICE
  • ABOUT ME
  • The Blog
  • CONTACT ME

Tag: Broker compensation conflict

FINRA Approves Revamped Broker Compensation Proposal

On September 19, FINRA’s Board of Governors approved a proposal that would…

Read More
by Bettina Eckerle
on
October 3, 2013
Bettina Eckerle

I have a mission. It is to make legal issues simple. To explain key terms and fundamental concepts every businesswoman/man needs to have down. To make sure people stay on top of trends. To make business law accessible. That’s why I launched my blog. I hope you find it helpful.

Bettina Eckerle
bettina.eckerle@eckerlelawyers.com

Enjoy The Blog!

THE BOOK

Make compliance an asset.

Read my practical guide for all your day-to-day compliance needs.

www.amazon.com

NEWS & TRENDS

SIGN UP FOR MONTHLY UPDATES

with news & trends

Recent Posts

WORKING FOR GOOD SERIES
Public Benefit Corporations: What You Need To Know

by Bettina Eckerle
31 Aug 2023

The Seed Round: SAFE vs. Convertible Note

by Bettina Eckerle
27 Aug 2023

SEC Compliance for Startups — Read This Before any Capital Raise

by Bettina Eckerle
15 Aug 2023

Anatomy of Seed Stage Convertible Notes

by Bettina Eckerle
27 Jul 2017

Choosing the Right Seed Financing Instrument for Startups

by Bettina Eckerle
25 Jul 2017

Archives

  • ARCHIVES

Tags

Adviser compliance Advisers Act Angel investor Attorney sec Bettina Eckerle Business lawyer Business start-up Capital Markets Chief Compliance Officer Compliance Officer Corporate attorneys Corporate Law Corporate law attorneys Corporate lawyer Crowdfunding Eckerle Eckerle Law Entrepreneurs Equity crowdfunding Financial Advisers Financial Services FINRA Funding Crowdfunding Investment Advisers Act Investment lawyer IPO lawyer JOBS Act Law for business Law offices Mary Jo White Regulation D rule 506 rule 506(c) SEC Sec attorney Sec attorneys Sec lawyer Sec lawyers securities Securities law Securities lawyer Securities Regulation start-up Start-ups Startup lawyer

CONTACT US

Eckerle Law

276 Fifth Avenue, Suite 704

New York, NY 10001

Mobile: 1 646 812 3361

bettina.eckerle@eckerlelawyers.com

Sign up for our News & Trends

Copyright © 2023 Eckerle Law. All Rights Reserved.