Tag Archives: investment advisors

Crowdfunding Portals Beware!

Because 88% of SEC tested broker-dealers and 74% of investment advisers have experienced cyber attacks, the head of the Securities and Exchange Commission’s Division of Enforcement is telling financial institutions that a cyber breach may also result in a violation … Continue reading

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Hedge Fund Relief Not Likely to Pass

The US House of Representatives approved on December 4th H.R. 1105, the Small Business Capital Access and Job Preservation Act, ┬álegislation that would exempt most private equity firms from registering with federal regulators. Currently, investment advisory firms with more than … Continue reading

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