StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission ...

As a follow-up to our prior discussion in this area, this article addresses a recent exemption issued to the New York Stock Exchange ("NYSE") by ...

FINRA enforces compliance on broker-dealers, requiring mandatory registration, securities licensing, and record-keeping of disciplinary actions. The CFTC and NFA regulate futures and forex options ...

Netcapital Securities plans to provide broker-dealer and administrative services, excluding underwriting and placement agent services, in connection with this offering. Algernon NeuroScience has ...