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Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Announces its 2018 Regulatory and Examination Priorities. Continue reading "FINRA Announces its 2018 Regulatory and Examination Priorities" ». Posted at 05:21 PM in FINRA. SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II. Posted at 11:10 AM. FINRA staff will assess issues inclu...

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Broker Dealings: A Broker-Dealer Law Blog | brokerdealings.com Reviews

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Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Announces its 2018 Regulatory and Examination Priorities. Continue reading FINRA Announces its 2018 Regulatory and Examination Priorities ». Posted at 05:21 PM in FINRA. SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II. Posted at 11:10 AM. FINRA staff will assess issues inclu...

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Broker Dealings: A Broker-Dealer Law Blog | brokerdealings.com Reviews

https://brokerdealings.com

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Announces its 2018 Regulatory and Examination Priorities. Continue reading "FINRA Announces its 2018 Regulatory and Examination Priorities" ». Posted at 05:21 PM in FINRA. SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II. Posted at 11:10 AM. FINRA staff will assess issues inclu...

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brokerdealings.com

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Broker Dealings: A Broker-Dealer Law Blog: FINRA

http://www.brokerdealings.com/finra

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Proposes Immediately Effective Clarifications to the Debt Research Rule. FINRA proposed amendments (SR-FINRA-2016-017) to the debt research rule (FINRA Rule 2242. Debt Research Analysts and Debt Research Reports. Continue reading "FINRA Proposes Immediately Effective Clarifications to the Debt Research Rule" ». Posted at 05:11 PM in Compliance.

2

Broker Dealings: A Broker-Dealer Law Blog - Revisions to FINRA Rule 5210 to Address Self-Trades

http://www.brokerdealings.com/2014/07/revisions-to-finra-rule-5210-to-address-self-trades.html

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; FINRA Begins Publicly Disseminating Rule 144A Corporate Debt Transaction Data. FINRA Fines Goldman Sachs for Failing to Prevent Trade-Throughs on SIGMA-X System ». Revisions to FINRA Rule 5210 to Address Self-Trades. To read the entire release. . Posted at 10:04 AM in FINRA.

3

Broker Dealings: A Broker-Dealer Law Blog - NYSE GROUP TO REENGAGE ITS SURVEILLANCE, INVESTIGATION AND ENFORCEMENT PROGRAM

http://www.brokerdealings.com/2014/10/nyse-group-to-reengage-its-surveillance-investigation-and-enforcement-program.html

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; FINRA BOARD BUSY AT SEPTEMBER MEETING FOCUS ON HFT. FINRA Revises Sanction Guidelines ». NYSE GROUP TO REENGAGE ITS SURVEILLANCE, INVESTIGATION AND ENFORCEMENT PROGRAM. FINRA will continue to conduct examinations and oversee registration and testing. We will continue to watch the ongoing changes in the regulatory structure of the market.

4

Broker Dealings: A Broker-Dealer Law Blog - FINRA Fines Goldman Sachs for Failing to Prevent Trade-Throughs on SIGMA-X System

http://www.brokerdealings.com/2014/09/finra-fines-goldman-sachs-for-failing-to-prevent-trade-throughs-on-sigma-x-system.html

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. Laquo; Revisions to FINRA Rule 5210 to Address Self-Trades. SEC Charges Wedbush and Two Officials for Market Access Rule Violations ». FINRA Fines Goldman Sachs for Failing to Prevent Trade-Throughs on SIGMA-X System. For more information please click here. Posted at 10:28 AM in Enforcement.

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Broker Dealings: A Broker-Dealer Law Blog

http://www.brokerdealings.com/page/2

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Proposes Changes to Rules Governing Communications with the Public. Continue reading "FINRA Proposes Changes to Rules Governing Communications with the Public" ». Posted at 05:38 PM in FINRA. FINRA Seeks Comment on Concept Proposal to Restructure Qualification Examination Program. On May 27, 2015, FINRA issued a request for comment on a concept prop...

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crowdfunding-lawblog.com

Back and Moving On | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/2013/05/21/back-and-moving-on

Sharon M. Davison. Back and Moving On. On May 21, 2013. I have been missing in action while I settled into my new law firm. Crowdfunding LawBlog is going to take a rest. Continue to follow my Twitter list on Crowdfunding. For information on broker-dealers and crowdfunding follow Broker Dealings: A Broker-Dealer Law Blog. 9654; No Responses. Leave a Reply Cancel reply. Enter your comment here. Fill in your details below or click an icon to log in:. Address never made public). July 9, 2012.

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Crowdfunding | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/category/crowdfunding

Sharon M. Davison. Archive for the ‘Crowdfunding’ Category. On May 18, 2016. So here we are. Yesterday May 17, 2016, 17 companies filed to raise money via crowdfunding. Each company had to file a Form C with the SEC and all offerings must be through a FINRA registered funding portal or a broker-dealer qualified to engage in crowdfunding. I am going to look into where the money is being raised. As you know I have not looked favorably on funding portals. But let’s see what the companies think. The membersh...

crowdfunding-lawblog.com

Broker-Dealers | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/category/broker-dealers

Sharon M. Davison. Archive for the ‘Broker-Dealers’ Category. On May 18, 2016. So here we are. Yesterday May 17, 2016, 17 companies filed to raise money via crowdfunding. Each company had to file a Form C with the SEC and all offerings must be through a FINRA registered funding portal or a broker-dealer qualified to engage in crowdfunding. Please feel free to share your thoughts on crowdfunding. Also check back here as this new sector moves forward. What is the benefit of a funding portal? The membership...

crowdfunding-lawblog.com

FINRA | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/category/finra

Sharon M. Davison. Archive for the ‘FINRA’ Category. What is the benefit of a funding portal? On February 4, 2016. So the question that must be answered, with the approval of the FINRA funding portal rules by the SEC, is: What is the benefit of being a funding portal? I am not questioning the benefit of crowdfunding. The issue here is why not just register a broker-dealer. Once the FP has been approved by FINRA, the standard of conduct rules and compliance requirements are very similar to those of a brok...

crowdfunding-lawblog.com

May | 2013 | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/2013/05

Sharon M. Davison. Archive for May, 2013 Monthly archive page. Back and Moving On. On May 21, 2013. I have been missing in action while I settled into my new law firm. Crowdfunding LawBlog is going to take a rest. Continue to follow my Twitter list on Crowdfunding. For information on broker-dealers and crowdfunding follow Broker Dealings: A Broker-Dealer Law Blog. Crowdfunding Portals One Year Later. What is the benefit of a funding portal? Back and Moving On.

crowdfunding-lawblog.com

SEC | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/category/sec

Sharon M. Davison. Archive for the ‘SEC’ Category. On May 18, 2016. So here we are. Yesterday May 17, 2016, 17 companies filed to raise money via crowdfunding. Each company had to file a Form C with the SEC and all offerings must be through a FINRA registered funding portal or a broker-dealer qualified to engage in crowdfunding. I am going to look into where the money is being raised. As you know I have not looked favorably on funding portals. But let’s see what the companies think. On February 4, 2016.

crowdfunding-lawblog.com

Portals | Crowdfunding LawBlog

https://crowdfunding-lawblog.com/category/portals

Sharon M. Davison. Archive for the ‘Portals’ Category. On May 18, 2016. So here we are. Yesterday May 17, 2016, 17 companies filed to raise money via crowdfunding. Each company had to file a Form C with the SEC and all offerings must be through a FINRA registered funding portal or a broker-dealer qualified to engage in crowdfunding. I am going to look into where the money is being raised. As you know I have not looked favorably on funding portals. But let’s see what the companies think. The membership pr...

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Jump to main navigation and login. Jump to additional information. Our Investment Management lawyers have formed and represented hundreds of broker-dealers ( BDs ) over the course of many years. Our lawyers have assisted start-up broker-dealers through the numerous and complicated aspects of registration with the Financial Industry Regulatory Authority ( FINRA ), the Securities and Exchange Commission ( SEC ) and various state securities or Blue Sky authorities. Firm Element/Continuing Education Manual.

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Collaborate.Operations. Results. We would like to thank all the Broker Dealer executives and sponsors who took time out of their busy schedule to join us in Colorado Springs to benefit their industry and looking forward to working with you again in the future. November 17-19, 2014. The Broadmoor Colorado Springs, CO. Ost to you. This is the event that can change how you see the future of your business. Now is the time. Join us. WHO ATTENDS . Pre- Event Vetted Based on Attendee Needs".

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Broker Dealings: A Broker-Dealer Law Blog

Broker Dealings: A Broker-Dealer Law Blog. Subscribe to our Newsletter. Enter your email address:. Follow us on Twitter. Subscribe to this blog's feed. FINRA Announces its 2018 Regulatory and Examination Priorities. Continue reading "FINRA Announces its 2018 Regulatory and Examination Priorities" ». Posted at 05:21 PM in FINRA. SEC STAFF RELEASES GUIDANCE FOR U.S. MARKET PARTICIPANTS REGARDING U.S. REGULATED ACTIVITIES AND COMPLIANCE WITH MIFID II. Posted at 11:10 AM. FINRA staff will assess issues inclu...

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Broker de Asigurare - Reasigurare. Numar autorizatie: 114.382. Data autorizatie functionare: 01.09.2006. Numar inmatriculare in Registrul Brokerilor: RBK-361. Data inmatricularii in Registrul Brokerilor: 04.09.2006. Forma juridica: Societate cu raspundere limitata. Numar de ordine in Registrul Comertului: J40/12004/25.07.2006. Cod unic ONRC: 18879191.

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