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If you are a financial professional or financial services firm needing experienced FINRA securities arbitration lawyers, please feel free to contact us for a confidential consultation. Our security lawyers at Shapiro Haber & Urmy will be happy to talk with you about how we can help you create and execute a strategy that will reduce risk and increase your chances of a good outcome. To know more about services, visit our website at https://lawyermcloughlin.com/.
Posted on April 16, 2022 at 1:12am 0 Comments 0 Likes
Posted on February 3, 2022 at 4:41am 0 Comments 0 Likes
FINRA Rule 8210 mandates that businesses and registered and related people disclose records, documents, and testimony to the regulator in the course of an inquiry. Because FINRA is a self-regulatory organization (SRO), it does not have the authority to issue subpoenas or compel disclosure.
As a result, it has established regulations that its member businesses and associated persons commit to following. The SEC examines and approves these rules. FINRA's principal method for gathering…
ContinuePosted on February 1, 2022 at 5:27am 0 Comments 0 Likes
Every business requires financial resources. Because a commercial bank may not be able to provide all of a company's finance, there are alternatives. Companies can use private placement programs to generate funds. This way of collecting private capital allows businesses to access the funding they want without having to go through the SEC's registration procedure, which can be time-consuming and costly.
Even while firms receiving funds from private investors are excluded from the…
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