Tag Archives: Broker-dealer

Crowdfunding Basics

The JOBS Act was passed in April 2012 and in addition to General Solicitation, the JOBS Act paved the way for the Crowdfunding exemption. Crowdfunding is best described as  the process by which capital is raised for a project, venture, … Continue reading

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What is a Finder?

Its no secret that both private and public companies, large or small have challenges raising much needed capital from investors. Access to equity can be difficult when complying with a maze of state and federal rules and regulations.  Business owners … Continue reading

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FINRA Redefines Suitability

On July 9, 2012, FINRA’s new Rule 2111 became effective. The new Rule requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable … Continue reading

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