JD Supra13d
SEC Cracks Down on Unregistered Broker-Dealers
StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission ...
JD Supra2y
The Danger of Paying Finder’s Fees to Unregistered Broker-Dealers
FINRA is the regulatory organization designated by the Securities and Exchange Commission (SEC) to license and regulate broker-dealers. Section 29(b) of the Exchange Act, which provides that every ...
Business Insider6d
Netcapital to Host Planned Reg A Offering by Algernon NeuroScience
Netcapital Securities plans to provide broker-dealer and administrative services, excluding underwriting and placement agent services, in connection with this offering. Algernon NeuroScience has ...