www.finra.org
FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly.
www.sec.gov
The SEC is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States.
www.finra.org
FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly.
www.sec.gov
The SEC is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States.
One of the exciting things about securities law is that rules can and do change in response to concerns raised
A long time ago in what seems like a different universe, I was working on an IPO for a company
There’s an interesting contrast between Regulation A and Regulation CF in terms of disclosure. Reg A requires that issuers provide
CrowdCheck offers a weapon against potential fraud.