Earlier this month, FINRA agreed to a Letter of Acceptance, Waiver, and Consent (AWC) imposing a $10 million fine and finding that, from 2018 through at least February 2024, the brokerage firm violated FINRA Rule 2341(l)(5), which generally prohibits broker-dealers from paying or accepting non-cash compensation tied to sales, as well as recordkeeping and supervisory
Authored by: Ernest E. Badway and Polina Pittell (law clerk)
This practice note discusses the regulation of crowdfunding intermediaries. Section 4(a)(6) (15 U.S.C. § 77d) of the Securities Act of 1933, as amended (Securities Act), added by Title III of the JOBS Act (112 P.L. 106, 126 Stat. 306), provides an
Monday, November 10
11:30 a.m. – 3:30 p.m. ET
We are pleased to invite you to the RIA Merger Conference, an exclusive in-person event in New York City (virtual option also available) designed specifically for registered investment advisers. This half-day panel program offers a unique opportunity to engage with peers and industry and thought leaders while exploring