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BrokerCheck - FINRA's Dread Permanent Record

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...

Broker-Dealers, Nasaa, NASD, Rule 8312, 2017 Cal. App. LEXIS 959, BrokerCheck, Dana Sabraw, finra, Flowers v. FINRA

NASAA Issues Report On State Enforcement Actions

"Nothing but blue skies From now on"

The North American Securities Administrators Association recently released its annual enforcement report.  The report is based on a survey of the 50 state members of NASAA.  The states report data based on either...

Enforcement & Investigations, Nasaa, binary options, enforcement actions

Binary Options And Securities Regulation

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":

A binary option is...

California Securities Laws, Nasaa, North American Securities Administrators, Section 25019, Section 3(a)(10), binary options, Section 2(a)(1), security

The DBO As Religious Regulator

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...

California Securities Laws, Nasaa, North American Securities Administrators Associati, church, church debt, church extension fund, mosque, permit, qualification, Section 25113, suitability, synagogue, temple

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ABOUT OUR AUTHOR

30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
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