Tags » Broker-Dealer

When The Consequences Outweigh the Risk

It is not difficult, doing the right thing. There are rules regardless of what game in life you’re playing. Ignorance is no defense.

Unfortunately, just as the simplicities of the day, the “Pleases” and “Thank Yous” have fallen by the wayside, so too has the mindset “I will work hard and succeed.” Instead, today is about the quick fix, the shortcuts and unfortunately, the cheating and the breaking of the law. 523 more words

Don't Lie To Your Stock Broker - - Seems Simple, No?

When opening a brokerage account with an investment firm (referred to as a broker-dealer) and its employee (the broker), there is one critical document that will act as the roadmap, the starting place, for a broker to know what is an appropriate trade recommendation to you. 507 more words

DO THE OFFICERS OF A CROWDFUNDING ISSUER HAVE TO REGISTER AS BROKER-DEALERS?

Today, the most challenging legal question in Title II Crowdfunding is who is required to be a broker-dealer and under what circumstances. The question is most acute for the officers of an issuer, those who direct the issuer’s activities and put the offerings together. 1,094 more words

Crowdfunding