Let’s say you have started/built this really great business that needs funding…Read More
Costs of Equity Crowdfunding: Are Companies in for Sticker Shock?
When the SEC‘s proposed new rules for Regulation Crowdfunding came out in…Read More
Open for Comment: FINRA’s Funding Portal Rules
With all the noise about the proposed set of rules for crowdfunding…Read More
Crowdfunding, the SEC and The New Rules—What Finally Came Down Today
The wait and speculation is over for now. Today the SEC proposed…Read More
What Are the Hallmarks of a Strong Compliance Program?
I thought it would be interesting to hear it from the horse’s…Read More
Stop the Abuse—Elder Fraud Prevention and Privacy Laws
Several financial regulators, including the SEC, the CFTC, the FTC and the…Read More
FINRA Approves Revamped Broker Compensation Proposal
On September 19, FINRA’s Board of Governors approved a proposal that would…Read More
Welcome to the Club: Municipal Advisors Now Subject to SEC Scrutiny
The registered advisor community just got a little larger. The SEC recently…Read More
New Report: FINRA Fines Trending Downward
FINRA fines are significantly lower for the first half of 2013, according…Read More
New Rule 506(c) — Are You Sure You Are Reasonable?
It went in effect yesterday. “It” being the SEC’s historic amendment to…Read More