Blogs about: Finra
Featured Blog
Indie Producer Won’t Use Crowdfunding
Kevin Smith, the “multi-hyphenate” producer of indie films (latest “Red State”) won’t use Kickstarter to fund “Clerks III” because, he says, it’s… more →
Crowd Funding News
A FRESH TAKE ON FINRA’s 2013 ON-SITE EXAMINATION and REGULATORY PRIORITIES
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 →
Indie Producer Won't Use Crowdfunding
wrote 4 days ago: Kevin Smith, the “multi-hyphenate” producer of indie films (latest “Red State … more →
Charles Schwab Drops Class-Action Ban Clause From Contracts
wrote 4 days ago: After AT&T somehow convinced the U.S. Supreme Court that a couple of sentences buried toward the … more →
Crowdfunding - Faster! No, Slower!
wrote 4 days ago: Why do some folks think that Congress is bipolar? Maybe it’s because it’s putting pressu … more →
Will White Tackle Crowdfunding?
wrote 5 days ago: SEC Head Mary Jo White appears to be moving forward with finalizing regulations left undone by forme … more →
Braff Leverages His Crowdfunding
wrote 5 days ago: Zach Braff, the star of the TV series Scrubs and the most recent Hollywood-type to crowdfund his pet … more →
FINRA Fines Ameriprise and its Clearing Firm $750,000 For Failing to Supervise Jennifer Guelinas
wrote 6 days ago: The Financial Industry Regulatory Authority, (FINRA) issued a news release on March 4, 2013 announci … more →
FINRA Notifies Brokerage Firms About Non-traded REIT Information that Can Mislead Investors
wrote 6 days ago: The Financial Industry Regulatory Authority is alerting broker-dealers that the way they market cert … more →
Company Man
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 →
Equity Crowdfunding Record Broken
wrote 1 week ago: CrowdCube said that it “has used its own platform to raise £1.5 million, for 21% of the equity … more →
Crowdfunding Makes for Bad TV
wrote 1 week ago: Variety pans the new “crowdfunding” CNBC tv show “Crowd Rules,” saying … more →
Crowdfunding the Crowd Funder
wrote 1 week ago: CrowdCube, which launched in February 2011, is the first UK website authorized and regulated by the … more →
Will The Donald Ruin Crowdfunding ?
wrote 1 week ago: Question of the day: Will crowd funding be able to survive the entrance of Donald Trump into the mar … more →
The right to remain silent
wrote 1 week ago: Suppose you’re a lawyer representing stockbrokers. One of your clients comes to you with the follow … more →
Crowdfunding That Angers Canadians
wrote 1 week ago: I had to post this unusual article. It’s unusual because (i) it’s by an angry Canadian w … more →
Tipping or Evolving?
wrote 1 week ago: An article in Wired today wonders if crowdfunding is at a tipping point of either fizzling out or be … more →
State Crowdfunding Exemptions - Useful or Useless?
wrote 2 weeks ago: Two states (Kansas and Georgia) now have “crowdfunding” regulatory exemptions and two st … more →
Crowdfunding No. 3 Takeaway in Hollywood
wrote 2 weeks ago: Crowd funding is the 3rd most important point in the Top 10 Take-Away Points from Digital Hollywood … more →
Sloss On Crowdfunding
wrote 2 weeks ago: Veteran film sales agent John Sloss of Cinetic Media, in a recent interview, said that he was a big … more →
