SEC Suspends Trading for Record Number of Shell Companies
The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...
Home Archive by Category "FINRA" (Page 6)
The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report
The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Fo...
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The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard
For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and...
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The Payment Of Finders’ Fees- An Ongoing Discussion
Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...
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The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
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