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Tag: FINRA

Four Becomes Three: Regulation A Offerings Are Easier Now – Crowdfunding & FinTech Law Blog

In this blog post from long ago, I wondered whether a company raising money through Regulation A could legally sell directly to investors. On...

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Top Equity Crowdfunding Sites in North America

Equity crowdfunding is an alternative finance model that leverages the power of the internet for owners of privately-owned businesses to raise funding by offering...

IC Markets Joins Industry Trend with Soft Launch of Prop Trading Offering

In a move anticipated since earlier this year, IC Markets has initiated the soft launch of its proprietary trading offering. The new platform, accessible through the...

FINRA Embraces Fractional Share Trading, to Overhaul Reporting Standards

Companies regulated by the Financial Industry Regulatory Authority(FINRA) will soon be required to report fractional shares as a whole number. These new changes, which are...

FINRA Slaps M1 Finance with $850,000 Fine for Misleading Social Media Influencer Posts

The Financial Industry Regulatory Authority (FINRA) has fined M1 Finance $850,000 due to lapses in the fintech firm's supervision of social media influencers. This enforcement action...

The Dilemma Of U.S. Cryptocurrency Regulation – CryptoInfoNet

The current state of crypto regulation is a “Catch-22,” a series of absurd and contradictory rules and requirements that are impossible to follow.Marcelo M....

Zachary Pavlosky, CFA, Joins Viridian Capital

NEW YORK — Viridian Capital Advisors, a leading financial and strategic advisory firm serving operators, investors, lenders and acquirers in the legal Cannabis, Hemp and...

Prometheum’s Controversial ETH Custody Launch

Digital Assets | Release | Feb 8, 2024 Image by FreepikPrometheum Launches Ethereum Custodial Services.  A Controversial Step Towards Regulatory Clarity?Prometheum Inc. officially announced...

Firstrade, CFI, PayPal and More: Executive Moves of the Week

This week has been quite exciting, featuring a notable increase in executive appointments within the forex, crypto, and fintech sectors. This trend underscores the...

FINRA, Trading 212, eToro and More: Executive Moves of the Week

This week has been a little less exhilarating than our last executive moves roundup for the forex, crypto, and fintech sector appointments, highlighting a...

FINRA Taps Ex-BNP Paribas Executive for Surveillance Role

The Financial Industry Regulatory Authority (FINRA) has named Feral Talib as its new Executive Vice President and Head of Surveillance and Market Intelligence. Talib will assume his...

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