FINRA Chairman and CEO Richard G. Ketchum gave a speech on April 9, 2013 as part of the National Compliance Outreach Program for Broker-Dealers....more
- Broker-Dealer Compliance Due Diligence FINRA Private Placements
We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more
- Broker-Dealer Dodd-Frank JOBS Act Private Placements Safe Harbors Securities
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