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

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 ...

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 ...