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FINRA Exams, Rule Changes, Series 24 Exam, Series 7

New Crowdfunding Rule for Securities Sales

May 13, 2016 by Marcia Larson 2 Comments

Effective Monday, May 16, 2016  investors can purchase new securities through crowdfunding.  In recent years, internet crowdfunding has been popular for raising early-stage…

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Exam News

Series 50 Exam: Knopman Marks Announces Release Date for Series 50 Study Material

November 8, 2015 by Howard Kaplan No Comments

The MSRB will be offering a Series 50 Pilot Examination for Municipal Advisors who are currently engaged in the municipal advisory…

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Knopman News, Securities Concept, Securities Law

Regulation A+ has arrived!

June 26, 2015 by [email protected] No Comments

Regulation A+ has arrived! A long standing exemption from the rigorous registration requirements of the Securities Act of 1933 has…

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Knopman Notes, Securities Law, Series 24 Exam

Relaxed Research Rules for Emerging Growth Companies (EGCs)

February 23, 2015 by Howard Kaplan No Comments

Securities industry regulations have long maintained that within a broker-dealer, the research team should function independently and free from influence…

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Knopman Notes, Securities Concept, Securities Law, Series 24 Exam

Red Flag Alert – Identity Theft

February 18, 2015 by Howard Kaplan No Comments

The sweeping changes in technology that have occurred over the last twenty years have enabled companies new and old to…

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