Many a school child has received the awful warning to be careful lest some offense be entered on his or her "permanent record". As required by statute (15 U.S.C. § 78o-3(i)), the Financial Industry Regulatory Authority, Inc. (aka FINRA) has...
BrokerCheck - FINRA's Dread Permanent Record
Posted on November 06, 2017
NASAA Issues Report On State Enforcement Actions
Posted on October 06, 2017
"Nothing but blue skies From now on"
Binary Options And Securities Regulation
Posted on September 25, 2017
Recently, the North American Securities Administrators Association (NASAA) updated and expanded its 2015 advisory warning investors about online binary option schemes. NASAA offers the following explanation of "binary options":
The DBO As Religious Regulator
Posted on January 23, 2017
In December last, the Department of Business Oversight published the 2016 Commissioner’s Report on the Offer or Sale of Securities by Permit under Corporations Code Section 25113. This report, which is required by California Corporations Code...
