Most states don't require registration or filing of notice if ... RRs who work for broker-dealers—aka stockbrokers—pay a percentage of their earnings as compensation for their back-office ...

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 ...

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