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Broker Registration Broker-Dealer

6 Factors to Determine if You Are an Unregistered Broker

Last year, the SEC reported 53 standalone enforcement actions in its “Broker Dealer” category. As a matter of public policy, ...
Brandy Brown September 17, 2018 0

Issuers Fintech Broker-Dealer Investing

Are High NIGO Rates on Investor Documents Costing You Time and Money?

When prospective investors decide to make an alternative investment, the documentation process is often overwhelming. Paper-based ...
Nicole Gibson July 5, 2018 0

Issuers Compliance Broker-Dealer Regulation Investors

Why Do I Need to Work with a Broker-Dealer?

As an issuer, you may be thinking why would I want or need another person involved in my offering? You already have your team, ...
Chris Rohde June 14, 2018 2

PPM Issuers Broker-Dealer

Why Investors Need to Perform Their Own Diligence (Even for Offerings that Go Through a Broker-Dealer)

A key component of WealthForge Securities’ business is the diligence we perform on all of the Regulation D offerings that we ...
Ricky Segers February 7, 2018 0

Compliance Broker-Dealer

Why You Need a Broker Dealer: A Securit(ies) Blanket for the Investment World

With an increase in volume in alternative investments, such as Regulation D and even Regulation A offerings, the private ...
Josh Galante July 17, 2017 1

FINRA Broker-Dealer Compliance

New FINRA Guidance Affects Broker Dealer Communication Rules

In April, the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization that governs broker-dealers like ...
Chris Rohde May 16, 2017 0

Broker-Dealer Compliance

50 Times the Headache: State Registration of Issuers and their Agents

As evidenced by the Electoral College system’s effect on our recent presidential election, states continue to hold tremendous ...
Tim Boykin November 18, 2016 0

Broker Registration Broker-Dealer Compliance SEC

Unregistered broker-dealer services can be illegal...and costly.

Last month, in our blog post "Unregistered? You might be breaking the law... and the SEC is watching.," we discussed the ...
Tim Boykin July 6, 2016 0

Broker Registration Broker-Dealer Compliance

Why It's Important to Understand Section 15 of the '34 Act

  Over the last six years many very smart people have continued to try and figure out how to work around the registration ...
Fred Bryant June 26, 2015 0

JOBS Act Broker-Dealer SEC Regulation Capital Raise

The Importance of a Broker-Dealer

  Much attention has recently been given to the JOBS Act and its impact on the ability of companies to raise capital through ...
Kevin Walsh October 28, 2014 0
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