Effective Monday, May 16, 2016 investors can purchase new securities through crowdfunding. In recent years, internet crowdfunding has been popular for raising early-stage funds for numerous endeavors, and this method is now approved for raising capital if SEC and FINRA rules …
Tag: The JOBS Act
The MSRB will be offering a Series 50 Pilot Examination for Municipal Advisors who are currently engaged in the municipal advisory business. The pilot Series 50 Examination will be available for a 30–day period beginning on January 15, 2016 …
Regulation A+ has arrived! A long standing exemption from the rigorous registration requirements of the Securities Act of 1933 has been Regulation A, which provides that a non-public company can raise up to $5,000,000 in capital over a …
Securities industry regulations have long maintained that within a broker-dealer, the research team should function independently and free from influence from their investment banking colleagues. The Global Research Settlement (2003) codified this view, and the more recently passed …
The sweeping changes in technology that have occurred over the last twenty years have enabled companies new and old to offer more sophisticated and innovative products and services to their customers. At the same time, many of these …
Regulation D is a safe harbor that allows issuers of securities to lawfully sell unregistered securities. Under Regulation D the SEC has set forth Rules 504, 505 and 506, which establish different exemptions from Securities Act registration. These …