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.
Securities and Exchange Commission Broadens Dealer Definition natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.
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 .
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
Teens in the Grand Traverse Region Can Now Apply for Youth Advisory Councils 9and10news.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from 9and10news.com Daily Mail and Mail on Sunday newspapers.
Mount Vernon News mountvernonnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mountvernonnews.com Daily Mail and Mail on Sunday newspapers.
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. David Lee, CEO and Founder of Netshares, stated, We are delighted to achieve this milestone and excited to officially launch our digital investment bank. Private markets represent a massive part of the modern global economy. Raising private capital and opening investment opportunities in private businesses can provide much-needed stimulus for our economy and create thousands of jobs. We look forward to working with both the business and investor communities to provide streamlined access to capital and quality alternative investments.