Speaker, FINRA webinar: who are they and what do they do?
- By: admin
- Apr 29
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On April 28, 2015, finLawyer , Ofsink, LLC and Pacific Stock Transfer presented a webinar focused on FINRA and common questions and concerns issuers and transfer agents have when working with FINRA. Discussion items included the deposit and liquidation of small cap securities, FINRA investigations and FINRA Rule 6490.
Read MoreFinLaw: Serial issuers of securities need to comply with state blue sky Laws
- By: admin
- Apr 8
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As we’ve previously discussed, a serial issuer operating or using a website that displays and advertises offerings of securities (a “funding platform”) does not necessarily need to register with the SEC (or FINRA) as a broker-dealer.fn1 However, what about State blue sky laws? While Rule 506 of Regulation D and Regulation A+ Tier 2 offering
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