Crowdfunding: Funding Portal Registration – Part I
Title III of the Jumpstart Our Business Startups (JOBS) Act, [...]
23
05, 2018
15
05, 2018
Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
5
09, 2017
What is on the Series 7 exam?
The financial services industry is heavily regulated. In order to [...]
12
07, 2017
Investment Advisers: SEC vs. State Registration
Due to the Dodd-Frank legislation, as of mid-2012, there are [...]
28
03, 2017
Rule change related to Registration and Continuing Education
As summarized below, FINRA recently filed with the SEC a [...]
29
01, 2017
Important Annual Regulatory Certifications – Rule 4517
FINRA Rule 4517 – Member Filing and Contact Information Requirements [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
21
09, 2016
What Is Form U10 And Why Do I Need It?
Note: With the implementation of the Test Enrollment Services System [...]
19
09, 2016
FINRA Annual Renewal Program
FINRA member firms are required to annually renew their registrations [...]