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Searching Content indexed under Criminal Law by Joshua Horn ordered by Published Date Descending.
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FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S. Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
22 Oct 2016
2
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
3
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
4
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
5
Why Face-to-Face Meetings Are Necessary For Proper Supervision
In this day and age of instant information and overstretched supervisory personnel, you have to be careful to avoid forgoing a very useful supervisory tool.
United States
18 Apr 2016
6
The SEC May Be Getting A Longer Stick
The discovery rule extends the statute of limitations because it provides that the statute does not begin to run until the party bringing the claim discovers the wrongdoing.
United States
13 Aug 2015
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