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The Brokerage Consulting Group provides consulting and services to the broker/dealer industry. Brokerage Consulting Group provides broker/dealer start-up services, FINRA registration, FINOP services, web site development, and a variety of other services
Reports that the United States Securities and Exchange Commission has proposed amending its broker-dealer registration rules and form. Aim to provide broker-dealers with a one step registration process over the Internet-based Central Regis...
Our advice often centers on the availability of one or more of the following formal or informal exemptions from broker-dealer registration and regulation: the M&A broker-dealer exemption under Section 15(b)(13) of the 1934 Act the exemption for so-called finders and business brokers under ...
Pirani, holding that, under Section 11 of the Securities Act of 1933, plaintiffs must plead and prove that they purchased securities that were traceable to the registration statement that plaintiffs claim contained a material misstatement or omission. Read on for more details. Read on »...
Securities and Exchange Commission (SEC) proposed a conditional exemption, operating as a nonexclusive safe harbor from the broker registration requirements of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) to permit natural persons ...
Protective Investors Benefit Advisory VUL issued on policy form VUL-15 9-19 and state variations in all states except New York by Protective Life Insurance Company, Nashville, TN. Variable products distributed by broker-dealer/affiliate Investment Distributors, Inc., Birmingham, AL. ...
Clarifying the regulatory status of “finders” – the SEC proposes a conditional exemption from broker-dealer registration for finders’ participation in private capital raises On October 7, 2020, in a narrow three-to-two decision, the Securities and Exchange Commission (the Commission) proposed ...
investment dealermeans a person or company registered in the category of investment dealer; Selling Holdermeans a Holder who is selling Registrable Securities pursuant to a registration statement. Selected Firmmeans the firm who is selected by the City and to whom the City Council/City Manager award...
9 RegisterLog in Sign up with one click: Facebook Twitter Google Share on Facebook Thesaurus Financial Wikipedia ThesaurusAntonymsRelated WordsSynonymsLegend: Switch tonew thesaurus Noun1. insurance broker- an agent who sells insurance insurance agent,underwriter,general agent ...