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Unregistered Finder Settles with the SEC, Agrees to Pay Millions

By David Jenson on 05/16/2014

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SEC Approves Additional Changes to FINRA Corporate Financing Rule

By Steve Quinlivan on 05/12/2014

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SEC Eases FINRA Corporate Financing Rule

By Steve Quinlivan on 04/29/2014

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SEC Explains How to Use Twitter and Absolves Issuers of Retweets

By Steve Quinlivan on 04/21/2014

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Continue Reading SEC Explains How to Use Twitter and Absolves Issuers of Retweets

SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers

By Steve Quinlivan on 04/16/2014

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New C&DIs Contemplate Intrastate Crowdfunded Offerings

By David Jenson on 04/10/2014

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MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

By Steve Quinlivan on 02/27/2014

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IPOs, Tweets and FWPs

By Steve Quinlivan on 02/24/2014

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SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

By Jill Radloff on 02/21/2014

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FINRA Proposes More Changes to Corporate Financing Rule

By Steve Quinlivan on 02/07/2014

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Continue Reading FINRA Proposes More Changes to Corporate Financing Rule