Q1. Who can offer or sell securities under Regulation Crowdfunding? A1. Regulation Crowdfunding allows eligible issuers1 to offer and sell securities through the platform of a broker-dealer or funding portal that is both registered with the SEC and a FINRA member (an “intermediary”). This activity must be conducted exclusively through the platform of a single intermediary. A firm cannot act as an intermediary if it is not a registered broker-dealer or a registered funding portal, and is not a member of FINRA.
Stop implementing elitist policies. Let everyone invest. This will have the same effect as literacy tests for voting, and is a violation of the right to pursue happiness
Individual investors should have right to select funds for their family that they deem necessary. No regulators. No progress to pass test, the prospectus exists for a reason.
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department’s regulatory
For the purposes of this Rule 6500 Series, the following terms have the following meaning:(a) “Confidential Data Element” means an item of information that a Covered Person must report under SEA Rule 10c-1a(e) and FINRA Rule 6530(a)(2)(M) through (U).(b) “Custodian” means a Broker or Bank that is providing safekeeping or custody services as described in Exchange Act Section 3(a)(4)(B)(viii)(I)(aa
I oppose restrictions on my rights to invest. And I should not have to pass a test just simplify the information for everyone to make better choices for investment
I should be able to choose which investments I want to make.
I shouldnt have to take any special tests or ask for approval form a broker.
I should be able to choose what I want to invest in without being tested, I do not a regulator telling me what I can and cannot invest in.
Public investment should be available for everyone, I should not have to go through any special process or a test in order to invest in public securities
Broker-dealers are at various stages in their cloud computing journey. Firms identified their size, business focus, existing IT infrastructure, and firm culture as some of the factors that influence their path to implementing cloud computing. While it is difficult to generalize for the entire industry, the following broad categories related to cloud migration may be helpful to understand broker-
