Home Posts Tagged "FINRA"
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...
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SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
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SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
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