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Tag: FINRA

FINRA: Don’t Use Series LLC As A Crowdfunding Vehicle

At least one high-volume Crowdfunding portal once used a “series LLC” for each crowdfunding vehicle and used a crowdfunding vehicle for almost every offering....

Friends and FOMO pushed newbie investors to buy crypto in 2022 — Survey

Influence from friends and the fear of missing out (FOMO) were some of the reasons investors bought crypto for the first time in 2022,...

Celebrating Earth Day with Finovate’s Environmental/Sustainability Demo Scholarship Winners

The Finovate Sustainability and Inclusion Scholarship Program is an opportunity to showcase innovative startups that are embracing strong ESG principles as a key...

Top Cryptocurrency Exchanges Compared: Head-to-Head Review

<!-- --> Here at the Coin Bureau, we spend a lot of time diving into the best cryptocurrency exchanges to help...

Robinhood to Pay Over $10 Million in Penalties to Numerous US States for Harming Investors

The California Department of Financial Protection and Innovation (DFPI) joined a multi-state settlement with Robinhood, which will pay approximately $10.2 million in fines...

Watch Out For Rule 10b-9 In Crowdfunding Offerings – Crowdfunding & FinTech Law Blog

Section 10(b) of the Exchange Act prohibits use of “any manipulative or deceptive device or contrivance” in connection with the purchase or sale of...

robo-advisor

What is a robo-advisor? A robo-advisor is a virtual financial advisor powered by artificial intelligence (AI) that employs an algorithm to deliver an...

Sweet Leaf Madison Capitol closes $100MM debt facility

DENVER – Sweet Leaf Madison Capital (“SLMC” or “Sweet Leaf Madison”), a nationwide provider of tailored debt financing solutions in real estate, equipment and...

Deutsche Bank Credit Default Swaps

One of our readers pointed me to yesterday’s Bloomberg article, “A Single Bet on Deutsche Bank’s Credit Default Swaps is Seen Behind Fridays Rout“,...

SEC Warns Investors: Be Vigilant Regarding Crypto Asset Securities

SEC | Release | March 23, 2024 Image: Unsplash/Maxim Hopman The SEC’s Office of Investor Education and Advocacy continues to urge investors to be cautious if...

What Is a Wells Notice and What Does It Mean?

As the crypto industry continues to seek regulatory clarity from regulators in Washington, D.C., regulators are nonetheless taking targeted action against a variety of...

Signature Bank Announces Availability of Materials for 2023 Annual Shareholders’ Meeting and Special Meeting of Holders of Series A Preferred Stock

NEW YORK–(BUSINESS WIRE)–Signature Bank (Nasdaq:SBNY), a New York-based, full-service commercial bank, announced today the Bank’s proxy materials for its 2023 Annual Meeting of Shareholders...

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