News & Analysis as of September 17, 2024

Startups

+ Follow

Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity

Making Finders Keepers: Unregistered Broker-Dealers and the Need for Reform

Farrell Fritz, P.C. on 3/18/2024

Identifying potential investors is one of the most difficult challenges facing early-stage companies. The range of amounts sought at this stage is typically greater than what could be provided by the founders and friends and...more

Report on 2019 SEC Government-Business Forum on Small Business Capital Formation Released

Mayer Brown Free Writings + Perspectives on 12/9/2019

The Securities and Exchange Commission released the report from the August 2019 Government-Business Forum on Small Business Capital Formation. The Annual Forum provides an opportunity for market participants to meet and...more

2 Results

View per page

Page: of 1

Financial Industry Regulatory Authority (FINRA) › Securities Regulation › Startups

Making Finders Keepers: Unregistered Broker-Dealers and the Need for Reform

Report on 2019 SEC Government-Business Forum on Small Business Capital Formation Released

"My best business intelligence, in one easy email…"