Tags » Securities Exchange Commission

I'm not gonna hit ya..

When I owned Royer Securities in West Caldwell, NJ, I had the SEC in my offices performing their annual audit.  I had recently fired a broker who was a friend of my cousin, Johnny.  120 more words

FINRA Proposed Limited Registration For Capital Finders

The Financial Industry Regulatory Authority (FINRA) has proposed a limited form of registration for persons and organizations involved in finding capital for business deals. The title for such brokers would be “Limited Corporate Financing Brokers”, and the proposal is Regulatory Notice 14-09, available at  107 more words

What Did The JOBS Act Do? What's Final?

There are three different sets of rules and institutions/persons defined under the JOBS Act, and rules are in place for two out of three. These are:  145 more words