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Broker-Dealers:  What Is the Series 79 Exam?

Broker-Dealers: What Is the Series 79 Exam?

For broker-dealers, a Series 7 license allows them to sell corporate stocks and bonds and a range of other securities, such as municipal bonds and mutual funds. But if they intend on pursuing investment banking activities, as well, they need another license: the...

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Retail Securities Law: Beware of Blue Sky Laws

Retail Securities Law: Beware of Blue Sky Laws

State laws governing retail securities — or “Blue Sky Laws” — may not receive the attention that surrounds federal regulations, but organizations can run into significant financial and legal exposure if they fail to take them into account when considering an offering....

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SEC Proposal Could Provide New Exemptions for ‘Finders’

SEC Proposal Could Provide New Exemptions for ‘Finders’

The Securities and Exchange Commission has proposed loosening the restrictions on finders —people who, for a fee, introduce potential investors to securities issuers— in a move that could have a significant impact on capital formation strategies for many smaller...

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