Tag Archives: penalties

Too Big For “Bad Boy” Sanctions?

The SEC Commissioners are struggling over whether a big money center bank can be “too big to be a bad actor.” Bloomberg reports that the Democratic-appointed Commissioners are arguing that Bank of America should not get a “bad boy” waiver … Continue reading

Posted in 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, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

A New JOBS Act Job – Whistleblower

The crowdfunding public is already pretty vigilant, with a few high profile frauds having been sniffed out. But when the crowdfunding regs get published, a new profession may appear, that of the whistle blower. The SEC actually has an Office … Continue reading

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