Broker-Dealer

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SEC Releases New FAQs on General Solicitation

By David Jenson on 11/14/2013

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FINRA Proposes Rules for Crowdfunding Portals

By Steve Quinlivan on 10/28/2013

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PCAOB Adopts Standards for Broker-Dealer Audits

By Jill Radloff on 10/12/2013

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Lie to Protect Yourself or Your Employer in CFTC Investigations and You Will be Punished

By Steve Quinlivan on 10/08/2013

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Open for Business: Comments on the SEC’s Latest Regulation D Proposals

By David Jenson on 08/26/2013

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10 Minute Overview of General Solicitation and Crowdfunding

By David Jenson on 08/21/2013

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Pending Legislation Offers M&A Advisers Relief From Broker-Dealer Rules

By Steve Quinlivan on 08/12/2013

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SEC Issues Final Rules on Audits of Broker-Dealers

By Steve Quinlivan on 07/31/2013

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High Frequency Trader “Spoofs” and “Layers” his Way to Penalties from U.S and British Regulators

By Steve Quinlivan on 07/30/2013

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SEC Commissioner Speaks to Role of Proxy Advisory Firms

By Jill Radloff on 07/15/2013

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