FINLAW: Pitfall to the Unwary — Mandatory Arbitration and the Unanticipated FINRA Enforcement Action
- By: admin
- Oct 13
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We hear frequent complaints about FINRA arbitrations. The arbitration is unfair to one party or another, that there are insufficient procedures to dismiss frivolous cases, or that the arbitrators do not spell out the factual or legal basis for their decision. While each of these may be a legitimate complaint, unwary litigants who are also
Read MoreFinLaw: Technology Driven Crowd-Capital Formation: From Crowdfunding to Regulation A+
- By: admin
- Jun 20
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See FactRight.com posting by Scott Andersen and George Georgiades at http://blog.factright.com/technology-driven-crowd-capital-formation-from-crowdfunding-to-regulation-a Recent regulatory reforms along with the rapid innovation in and availability of financial technology have created new opportunities for private and public capital formation. The JumpStart Our Business Startups (JOBS) Act of 2012 introduced historic reforms to modernize our private capital markets with the goal
Read MoreFINLAW: Five Tips to Crowdfunding Portals – Preparing For Your First FINRA Exam
- By: admin
- May 24
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See Article published on BanklessTimes http://www.banklesstimes.com/2017/05/23/5-tips-to-crowdfunding-portals-preparing-for-your-first-finra-examination/
Read MoreFINLAW: Is Your Crowdfunding Portal Ready For Your First FINRA Exam?
- By: admin
- May 21
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Article published on CrowdfundInsider.com https://www.crowdfundinsider.com/2017/05/100678-crowdfunding-portal-ready-first-finra-exam/
Read MoreFinLaw: Are Overseas Portals the Next Big Thing in US Equity Crowdfunding?
- By: admin
- Mar 22
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See article appearing in Crowdfund Insider on March 22, 2017 https://www.crowdfundinsider.com/2017/03/97648-overseas-portals-next-big-thing-us-equity-crowdfunding/
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