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Tag: FINRA

Fintech Fridays EP62: The Future of Investment Crowdfunding: Innovations, Data, and Opportunities

About NCFA Canada | Craig Asano | Apr 5, 2024 EP62 Sherwood 'Woodie' NeissApr 5, 2024: NCFA's Fintech Fridays podcast episode 62 The Future...

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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...

Spirits Capital Corporation Launches $35 Million Tier 2 Reg A Capital Raise Using the tZERO Securities Platform

Spirits Capital Corporation provides investors with a path to capitalize on the growth in value of premium American whiskey while it matures in the...

Investing on Republic: What’s Different to Seedrs? – Seedrs Insights

Don’t invest unless you’re prepared to lose all the money you invest. This is a high risk investment and you are unlikely to be...

Cannabis Companies and the OTC Markets

I stumbled upon this recent post by Jason Paltrowitz titled “Lawful but Awful: The Small Cap IPO Cycle.” It contains some interesting findings and...

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