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Tag Archives: Broker-dealer
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
Posted in IPO, Reg D 506, Securities Offerings
Tagged Broker-dealer, equity, Finder, FINRA, investment, investor, money, Reg D 506, SEC, Smaller Reporting Company, unlicensed broker dealer
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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
Jennifer Trowbridge
