private placement offerings
Tag Archive

March 7, 2013

The Tidal Group, Inc. fined by FINRA

The Tidal Group, Inc. (CRD #39782, Schertz, Texas) recentlysubmitted a Letter of

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March 7, 2013

KMS Financial Services, Inc. fined by FINRA

KMS Financial Services, Inc. (CRD #3866, Seattle, Washington) recently submitted a

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December 6, 2011

FINRA Proposes New Private Placement Offering Rule, NASAA Comments

In October of this year the Financial Industry Regulatory Authority (FINRA)

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