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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 Broker Registration Compliance Regulation

Do You Need a Securities License?

Last month Tim Boykin, WealthForge’s corporate counsel, and Jim Raper, Chief Compliance Officer, sat down with Kim Lisa Taylor, ...
Ryan Gunn August 28, 2018 0

Broker Registration Real Estate Securities General Solicitation

The Howey Test: When is a Real Estate Interest a Security?

The real estate industry adopted the provisions of the JOBS Act, particularly general solicitation using 506(c), earlier and more ...
Tim Boykin April 10, 2018 0

Issuers Broker Registration Compliance Reg A JOBS Act

Do You Need A Broker-Dealer For A Regulation A+ Offering?

The following is a guest post written by Kendall Almerico. Kendall Almerico is an attorney based in Washington DC whose practice ...
Kendall Almerico March 29, 2018 1

SEC Broker Registration Securities

Dallas Sellers Club, Part 3: Punishment for Unregistered Brokerage Activity

This is the third installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen February 6, 2018 0

Real Estate Securities Compliance Broker Registration

4 Lessons to Learn from a Recent FINRA Enforcement Action

  FINRA recently filed a disciplinary proceeding against a large southeastern broker dealer and two of its principals. The ...
Tim Boykin November 27, 2017 0

Securities Broker Registration

Dallas Seller’s Club, Part 2: When is a Note a Security?

This is the second installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen November 20, 2017 0

Broker Registration Compliance SEC Securities

Dallas Seller’s Club, Part 1: The “Gray Area” in Unregistered Brokerage Activity

This is the first installment in a series of posts about SEC enforcement action against Retirement Surety, LLC, Crescendo ...
Abby Johansen October 31, 2017 0

Broker Registration

Registered or Not, Here They Come

Investment advisers are on notice. In 2016, the SEC brought a record 160 enforcement actions involving investment advisers or ...
Bret Daniel February 16, 2017 0

Securities Broker Registration Compliance

Selling Unregistered Securities: Are More Requirements a Good Thing?

So you’re the new owner of unregistered securities in a private company or fund. What’s next? Maybe there’s a preferred return ...
Chris Rohde October 27, 2016 0
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