Tag Archives: financial services

SEC Round Table on Cybersecurity

The Securities and Exchange Commission announced that it will host a roundtable on March 26 to discuss cybersecurity and the issues and challenges it raises for market participants and public companies, and how they are addressing those concerns. Those that … Continue reading

Posted in Banking, Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, Venture Capital | Tagged , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Where Are the Brokers?

A recent survey by BDO USA indicates that investment bankers think that the JOBS Act will increase the risk of a financial scandal but will also create more IPOs. In a related story, it was reported that SEC is asking … Continue reading

Posted in Broker dealers, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Funding Portals, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , | Leave a comment