Displaying 161 - 170 of 1648 Results
Equity Securities as Compensation for Capital Acquisition Brokers
Communications with the PublicReg BI and Form CRSPrivate PlacementsVariable AnnuitiesPrevious:Crowdfunding Offerings: Broker-Dealer and Funding PortalsUp:Communications and SalesNext:Communications with the Public
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Funding Portals and Crowdfunding Offerings
Up:Communications and Sales
Next:Reg BI and Form CRS
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Funding Portals and Crowdfunding Offerings
Up:Communications and Sales
Next:Reg BI and Form CRS
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Fixed Income Mark-up Disclosure
Up:Communications and Sales
Next:Reg BI and Form CRS
These regulations are unprecedented and ludicrous!! Never before have regulators proposed blocking investors from investments. The function of regulators has been to insure products and their promoters fully informed investors and disclosed disclosed risks. Even private placements focus more on full and complete disclosure, than restricting investment.
Please do not play "nanny."
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Read CEO Robert Cook’s email to firms describing outcomes from the June 2020 FINRA Board of Governors Meeting.
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules
WASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer accounts, and
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.