Private Capital Market Places – A Second Look
Last week I wrote a blog introducing, at least to me, Private Company Market Places (PCMP). A PCMP is a trading platform, such as S...
Home Archive by Category "Broker-Dealer" (Page 3)
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FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking
The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing pr...
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Private Capital Marketplace – A First Look
As I discussed in a recent blog, the attraction of the small cap and reverse merger market has diminished greatly in the past two ye...
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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