Broker-Dealer

Subscribe to Broker-Dealer via RSS

Changes to Proposed Investment Adviser Legislation

By David Jenson on 03/30/2013

…
Continue Reading Changes to Proposed Investment Adviser Legislation

SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

By Steve Quinlivan on 03/29/2013

…
Continue Reading SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

SEC Charges Private Equity Group For Using Unregistered Broker

By Steve Quinlivan on 03/11/2013

…
Continue Reading SEC Charges Private Equity Group For Using Unregistered Broker

NYSE Proposes Modifications to Charges to Issuers for Proxy Distributions

By Steve Quinlivan on 02/19/2013

…
Continue Reading NYSE Proposes Modifications to Charges to Issuers for Proxy Distributions

New FAQs on Broker-Dealer Registration Exemption

By David Jenson on 02/07/2013

…
Continue Reading New FAQs on Broker-Dealer Registration Exemption

FINRA Releases FAQs on Public Offering Review

By David Jenson on 02/02/2013

…
Continue Reading FINRA Releases FAQs on Public Offering Review

FINRA to Require BrokerCheck Link on Internet Advertising

By Steve Quinlivan on 01/07/2013

…
Continue Reading FINRA to Require BrokerCheck Link on Internet Advertising

SEC Approves New Rules Regarding Lost Holders of Securities

By Steve Quinlivan on 12/23/2012

…
Continue Reading SEC Approves New Rules Regarding Lost Holders of Securities

FINRA Releases FAQs on Private Placement Notice Filing Rule

By David Jenson on 12/08/2012

…
Continue Reading FINRA Releases FAQs on Private Placement Notice Filing Rule

More Comments on the General Solicitation and Advertising Rule

By David Jenson on 10/24/2012

…
Continue Reading More Comments on the General Solicitation and Advertising Rule