Tag Archives: FINRA

FINRA’s Crowdfunding Portal Form

Are you anxiously awaiting the Crowdfunding final rules? Are you considering operating as a Crowdfunding Portal? If so, you should consider filling out and submitting this form: InterimFormforFundingPortals(1) To help FINRA develop rules that accurately¬† reflect the funding portal community, … 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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