www.finra.org
FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly.
www.nasaa.org
In the United States, NASAA is the voice of state securities agencies responsible for efficient capital formation and grass-roots investor protection. Their fundamental mission is protecting consumers who purchase securities or investment advice, and their jurisdiction extends to a wide variety of issuers and intermediaries who offer and sell securities to the public.
www.sec.gov
The SEC is a federal agency which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets in the United States.
www.govinfo.gov
The Jumpstart Our Business Startups Act or JOBS Act, is a law intended to encourage funding of United States small businesses by easing various securities regulations. It passed with bipartisan support, and was signed into law by President Barack Obama on April 5, 2012. The JOBS Act includes the CROWDFUND Act, which enables crowdfunding.
A few years ago, we spent a lot of time with the Staff of the Division of Corporation Finance discussing
This is mostly a classic run-away-with-the-money case, combined with a bunch of misleading statements and omissions. But there are a
I was thinking of calling this series “Fraud of the Month” but didn’t want to go that far. You may
