Category:Financial regulation. PRIVATE CAPITAL AND INVESTMENT GROUP CLIEN. The Financial Services Roundtable. FSR Infact HOME. FSR Infact Results of your Search. BIPAC has powered business political success during challenging times since1963 as the nation's first business political action committee.
Anchored by insightful political analysis – not the ebb and flow of power – we ensure members can identify and support candidates who are strong on their issues. Our extensive research and leading edge innovation keeps tactics meaningful. We have proven that natural constituencies provide credibility, relevance and accountability to any grassroots effort. The Prosperity Project® helps members build on existing relationships to inform employees, stakeholders and voters on issues that matter to them and their industries.
Our network of regionally-based affiliates allows members the flexibility to affect the discourse at the local, state and federal levels. CompliancEX: FACTBOX-Keys to U.S. Senate compromise on financial. Lobbying May Kill Fiduciary-Rules Plan for Brokers (Update1) - B. Ask the attorney: ‘Finder’ keepers could be losers, weepers. (Editor’s note: “Ask the Attorney” is a weekly VentureBeat feature allowing start-up owners to get answers to their legal questions.
Submit yours in the comments below and look for answers in the coming weeks. Author Scott Edward Walker is the founder and CEO of Walker Corporate Law Group, PLLC, a boutique corporate law firm specializing in the representation of entrepreneurs.) Question: We launched our company about a year ago, and we’re having trouble raising money. I met a consultant at a conference who said he has a lot of connections and could help us raise about $500K if we paid him 6 percent. This seems like a pretty good deal. Answer: There are, in fact, a number of legal issues you need to worry about. – the biggest one being whether this consultant is licensed as a “broker-dealer”. Securities laws are complex and are a potential minefield for the unwary. The term “broker-dealer” is a broadly defined one under both federal and California law.
You may be thinking: So what? FINRA Issues Guidelines for. CE Council : Reg Watch : Industry News. Fear of the unknown - Investment News. Obama Proposes New Bank Regulations. How private is private equity? Securities law hurts the private. <a href=" private is private equity?
Securities law hurts the private capital markets. </a> The financial reform plan of Obama Treasury Secretary Timothy Geithner includes measures to rein in private equity and other forms of private capital formation that have been, up until now, largely exempt from the federal securities laws. Geithner and the Obama administration would require registration and reporting from these otherwise private entities, bringing them under the discretion of the Securities and Exchange Commission (or whatever regulator might take its place). A commonplace justification for this sort of registration and reporting program is that disclosure does not place a great burden on companies--all they need to do is not lie. In answering those questions, I will make two related points in this essay: First, disclosure is not a costless activity and the benefit of being private is that private firms can limit their disclosures and avoid those costs.
About FINRA. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly. We do this by: writing and enforcing rules governing the activities of more than 4,140 securities firms with approximately 633,155 brokers;examining firms for compliance with those rules;fostering market transparency; andeducating investors. Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
Every investor in America relies on one thing: fair financial markets. Learn more about what we do to protect investors and ensure market integrity. SECLaw.com - The Securities Law Blog. House Committee Passes Legislation to Modernize Financial Regula.