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November 20, 2013
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Blog, Securities Fraud
Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial professionals, broker-dealers, businesses and the various securities markets. In addition to protection, regulators are designed to maintain market integrity and efficiency. The
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December 6, 2011
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Blog, Securities Fraud
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. FINRA’s proposed Rule 5123, according to SEC documents, “would require that
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August 29, 2011
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Blog, Securities Fraud
The North American Securities Administrators Association (NASAA), a leading international investor protection organization, recently released its 2010 list of “Top Investor Traps.” The NASAA notes that in todays’ economic times that it is tempting for investors to jump at investment opportunities to try to gain
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