Anthony J. Zeoli
Top Posts & Pages
- STATE OF THE STATES - List of Current Active And Proposed Intrastate Crowdfunding Exemptions (Updated)
- Changes To “Accredited Investor” Definition Recommended By SEC Staff; The Good, The Bad And The Ugly
- NASAA Brings Rule 506 Notice Filings Into The 20th Century With Launch Of Electronic Filing Depository (EFD) - But Is It Enough?
- STATE OF THE STATES - Comparative Summaries of Current Active And Proposed Intrastate Crowdfunding Exemptions (Updated)
- “ACCREDITED INVESTOR,” WHAT IT MEANS AND WHY IT MATTERS
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Tag Archives: FINRA
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
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
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