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Anthony J. Zeoli
Tel 773.983.9133
Fax 312.360.6520
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- STATE OF THE STATES - List of Current Active And Proposed Intrastate Crowdfunding Exemptions (Updated)
- SEC Issues Cease and Desist Order To “EB-5” Investment Companies For Acting As Unregistered Broker-Dealers – Why It Matters To The Crowdfunding Industry
- STATE OF THE STATES - Comparative Summaries of Current Active And Proposed Intrastate Crowdfunding Exemptions (Updated)
- ENTER THE MINI-IPO - SEC Approves Final Rules for Title IV of the JOBS Act (Regulation A+)
- How Good Is Too Good? The Underwriting Risks Of Crowdfunding Real Estate Deals
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Tag Archives: Broker
SEC Issues Cease and Desist Order To “EB-5” Investment Companies For Acting As Unregistered Broker-Dealers – Why It Matters To The Crowdfunding Industry
Last week the U.S. Securities and Exchange Commission (SEC) issued a Cease and Desist Order (the “Order”) against two related companies for acting as unregistered broker-dealers in connection with the sale of securities under the “EB-5” Investor Program (also sometimes … Continue reading
Posted in Gen Crowdfunding
Tagged Broker, broker dealer, cease and desist, compliance, crowdfunding, JOBS Act, SEC
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FINRA Launches National Ad Campaign Promoting Its Online BrokerCheck Research Tool, But Does It Work?
Early last week the Financial Industry Regulatory Authority (FINRA) rolled out a multi-million dollar ad campaign promoting its online research tool called “BrokerCheck.” BrokerCheck is free online database intended to provide the investing public with an east way to research … Continue reading
