by Rhys James | Sep 14, 2021 | General Business, Securities
More than a year ago, the Financial Industry Regulatory Authority (FINRA) said that it would make reviewing the rules for private placement retail communications by broker-dealers a special priority. Now, the financial regulator is following through on its promise....
by John Jessee, Jr. | Aug 4, 2021 | Securities
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...
by Clark Warthen | May 27, 2021 | Securities
No one wants to jump into a shower that is too cold. The same holds true for emerging growth companies (EGCs) and other issuers interested in offering their securities in the public markets. Since 2012, federal law has allowed EGCs to “test the waters,” communicating...
by Tom Voekler | Apr 22, 2021 | Securities
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....
by Robert R. Kaplan, Jr. | Oct 27, 2020 | Securities
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...
by Chip Cunningham | Sep 22, 2020 | Securities
The COVID-19 pandemic may have put a damper on business activity this summer, but it didn’t motivate the U.S. Securities and Exchange Commission to delay the June 30th compliance deadline for Regulation Best Interest. SEC Regulation Best Interest, which became...
