Home Posts Tagged "FINRA" (Page 3)
CROWDFUNDING FROM A TO Z
As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our...
0
562
0
0
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”...
0
541
0
0
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...
0
511
0
0