Tag Archives: arbitration

Do You Trust Your Broker?

When your broker suggests that you put your money into one of her picks, is it good for you? Brokers’ duties include fair dealing, suitable recommendations, accurate disclosure, trade only by client instruction and avoiding excessive trading.  See: http://www.finrafoundation.org/web/groups/foundation/@foundation/documents/foundation/p119054.pdf However, there … Continue reading

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FINRA Proposed Regs Require Expertise

FINRA has issued new proposed rules for non-broker/dealer funding portals. Those entities must become FINRA members in order to list security selling crowd funding issuers. The good news is that  applications will generally be processed within 60 days after FINRA … Continue reading

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FINRA Releases Proposed Funding Portal Rules

FINRA released proposed new funding portal rules for non-broker/dealer websites that want to offer crowd funding deals under the proposed SEC crowd funding rules that were issued yesterday. The rules cover applications for FINRA membership, changes in control, the requirement … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Film, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment