The Hits Keep Coming - Scammer Makes Fake Filing and Sells His Calls
The SEC filed fraud charges against a Virginia-based mechanical engineer accused of scheming to m...

FINRA Requests Comment on FINRA Rules Impacting Capital Formation
The ability of small and large businesses to raise capital efficiently is critical to job creatio...

DoL Rule Under Attack. But from Where?
Today's quiz. Who said this last week? I have a very nuanced view of the DoL fiduciary duty rule:...

SEC Wants All Investors to Access High Risk Investments.
In a startling about-face, Acting Securities and Exchange Commissioner Michael Piwowar called for...

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