Blogs about: Finra

Featured Blog

A FRESH TAKE ON FINRA’s 2013 ON-SITE EXAMINATION and REGULATORY PRIORITIES

asmesq wrote 23 hours ago: With First Quarter in the books, what more do we know? As you may recall, on January 13, 2013, FINRA … more →

Tags: Securities, Broker-Dealer, FINANCIAL INDUSTRY NATIONAL REGULATORY AUTHORITY (FINRA, Compliance, suitability, Broker-dealer (BD) and registered representative (RR) S, SEC, Know Your Customer, FINRA Rule 2111

Indie Producer Won't Use Crowdfunding

JeffKoeppel wrote 4 days ago: Kevin Smith, the “multi-hyphenate” producer of indie films (latest “Red State … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, Crowd Fund Act, small business, Wall Street

Charles Schwab Drops Class-Action Ban Clause From Contracts

Chris Morran wrote 4 days ago: After AT&T somehow convinced the U.S. Supreme Court that a couple of sentences buried toward the … more →

Tags: the ties that bind, mandatory binding arbitration, forced arbitration, Charles Schwab

Crowdfunding - Faster! No, Slower!

JeffKoeppel wrote 4 days ago: Why do some folks think that Congress is bipolar? Maybe it’s because it’s putting pressu … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, broker-dealers, Crowd Fund Act, small business, Wall Street

Will White Tackle Crowdfunding?

JeffKoeppel wrote 5 days ago: SEC Head Mary Jo White appears to be moving forward with finalizing regulations left undone by forme … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, broker-dealers, Crowd Fund Act, small business, Wall Street

Braff Leverages His Crowdfunding

JeffKoeppel wrote 5 days ago: Zach Braff, the star of the TV series Scrubs and the most recent Hollywood-type to crowdfund his pet … more →

Tags: Banking, Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, Crowd Fund Act, small business

FINRA Fines Ameriprise and its Clearing Firm $750,000 For Failing to Supervise Jennifer Guelinas

The Resolution Law Group wrote 6 days ago: The Financial Industry Regulatory Authority, (FINRA) issued a news release on March 4, 2013 announci … more →

Tags: FINRA Settlements, financial firms, Securities Fraud, Ameriprise, Financial Industry Regulatory Authority, united states, FINRA, Bank of America, The Resolution Law Group

FINRA Notifies Brokerage Firms About Non-traded REIT Information that Can Mislead Investors

The Resolution Law Group wrote 6 days ago: The Financial Industry Regulatory Authority is alerting broker-dealers that the way they market cert … more →

Tags: REITs, The Resolution Law Group, Financial Industry Regulatory Authority, united states, Investment, FINRA, Investor, real estate investment trust, Brokerage Firm

Company Man

JeffKoeppel wrote 6 days ago: Not sure if this story is true, but if it is, it’s pretty scary. Wired writes about a 30-year- … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, Crowd Fund Act, small business, Wall Street, Funding Portals

Equity Crowdfunding Record Broken

JeffKoeppel wrote 1 week ago: CrowdCube said that it “has used its own platform to raise £1.5 million, for 21% of the equity … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, broker-dealers, Crowd Fund Act, small business, Wall Street

Crowdfunding Makes for Bad TV

JeffKoeppel wrote 1 week ago: Variety pans the new “crowdfunding” CNBC tv show “Crowd Rules,” saying … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, Crowd Fund Act, small business, Wall Street

Crowdfunding the Crowd Funder

JeffKoeppel wrote 1 week ago: CrowdCube, which launched in February 2011,  is the first UK website authorized and regulated by the … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, broker-dealers, Crowd Fund Act, small business, Wall Street

Will The Donald Ruin Crowdfunding ?

JeffKoeppel wrote 1 week ago: Question of the day: Will crowd funding be able to survive the entrance of Donald Trump into the mar … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, Investments, Crowd Fund Act, small business, Wall Street, Funding Portals

The right to remain silent

Robert Sullwold wrote 1 week ago: Suppose you’re a lawyer representing stockbrokers.  One of your clients comes to you with the follow … more →

Tags: suitability, Arbitration, enforcement proceedings, Broker defense, Broker-dealer litigation

Crowdfunding That Angers Canadians

JeffKoeppel wrote 1 week ago: I had to post this unusual article. It’s unusual because (i) it’s by an angry Canadian w … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, broker-dealers, Crowd Fund Act, small business

Tipping or Evolving?

JeffKoeppel wrote 1 week ago: An article in Wired today wonders if crowdfunding is at a tipping point of either fizzling out or be … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, Crowd Fund Act, small business, Wall Street

State Crowdfunding Exemptions - Useful or Useless?

JeffKoeppel wrote 2 weeks ago: Two states (Kansas and Georgia) now have “crowdfunding” regulatory exemptions and two st … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, States, Investments, broker-dealers, Crowd Fund Act, Wall Street

Crowdfunding No. 3 Takeaway in Hollywood

JeffKoeppel wrote 2 weeks ago: Crowd funding is the 3rd most important point in the Top 10 Take-Away Points from Digital Hollywood … more →

Tags: Crowd Funding Platforms, SEC, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, broker-dealers, Crowd Fund Act, small business

Sloss On Crowdfunding

JeffKoeppel wrote 2 weeks ago: Veteran film sales agent John Sloss of Cinetic Media, in a recent interview, said that he was a big … more →

Tags: Crowd Funding Platforms, Crowd Fund Act of 2012, Crowd Funding At the Margins, film, Investments, Crowd Fund Act, small business, Wall Street, Funding Portals


Related Tags
All →

Follow this tag via RSS