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Rule Change Updates
Exam Content, Series 10, Series 65, Series 66, Series 7, Series 99, SIE

DOL Phase 1: What Happens June 9th

June 8, 2017 by Marcia Larson No Comments

The controversial Fiduciary Rule is for real.  Even though many in the industry assumed further delay and the Trump administration…

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Rule Change Updates
FINRA News, Series 10, Series 24, Series 65, Series 66, Series 7, Series 79, Series 87

Recent Rule 147 and Reg D Changes

May 10, 2017 by Marcia Larson No Comments

Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147  Updates  Rule 147 was…

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Rule Change Updates
Exam Content, Series 10, Series 24, Series 53, Series 7, Series 9

ABLE Accounts and MSRB Rules

July 21, 2016 by Marcia Larson No Comments

The MSRB has recently determined that certain ABLE Accounts are subject to MSRB regulation because of their similarity to Section…

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Exam Content, Series 10, Series 24, Series 65, Series 66, Series 7, Series 79, Series 9

Private Placements Under Regulation D (Rule 504, 505 & 506)

April 2, 2014 by Dave Meshkov No Comments

Regulation D is a safe harbor that allows issuers of securities to lawfully sell unregistered securities.  Under Regulation D the…

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Exam Content, Series 10, Series 24, Series 63, Series 65, Series 66, Series 7, Series 79

Rule 147 — Intrastate Offerings

March 25, 2014 by Dave Meshkov No Comments

Rule 147 permits the sale of unregistered securities (i.e. securities that are NOT registered with the SEC) provided the issuer…

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