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March 1, 2024
On February 5, 2024, the U.S. Securities and Exchange Commission ("SEC") adopted new rules – SEC Rules 3a5-4 and 3a44-2 (collectively, the "Final Rules") – to further define the phrase...
February 20, 2024
As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a broker-dealer to become a FINRA member if the broker-dealer effects transactions ...
August 7, 2023
The Grand Traverse Regional Community Foundation is inviting high school-age students – private, public, or home-schooled – in Antrim, Benzie, Grand Traverse, Kalkaska, and Leelanau counties to join one of
January 6, 2021
Share this article Share this article HOUSTON, Jan. 6, 2021 /PRNewswire/ -- Netshares Financial Services, LLC, a digital investment bank and Reg CF crowdfunding portal, announced today that the Financial Industry Regulatory Authority ("FINRA") has approved its New Member Application to commence operations as a registered broker-dealer. The Firm, which will be named "Netshares," will offer a digital investor marketplace for private capital serving both accredited and unaccredited investors. Da...