Tag Archives: FINRA

Will Title III Crowdfunding Be a Reality or a Pipe-dream?

Since the signing into law of the Jumpstart Our Business Startups (JOBS) Act  in April of 2012, crowdfunding advocates have anxiously awaited the day that retail crowdfunding (Title III) would become a reality. After over three LONG years of waiting, … Continue reading

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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

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LOCK IT UP – SEC and FINRA Weigh In On Cybersecurity Issues At Brokerage And Advisory Firms

  Early in 2014, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its intention to conduct an examination of certain registered broker-dealers and investment advisers in order to assess the general vulnerability of the … Continue reading

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