Valuations of Unlisted Real Estate Investment Trusts and Direct Participation Programs – Boca Raton, Florida REIT and DPP FINRA Arbitration and Litigation Attorney

SEC Order Approving FINRA Rule Change Relative to How Member Firms are Required to Calculate the Value of Unlisted Real Estate Investment Trusts and Direct-Participation Programs: The Sec has approved FINRA’s plan to overhaul how member firms calculate the value...

Crowdfunding – Florida Securities and Investment Litigation and Arbitration Attorney

Crowdfunding: The Securities and Exchange Commission recently voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. Crowdfunding describes an evolving method of raising capital that has been used...

Registration Rules for Municipal Advisors – Florida Municipal Bond Litigation Attorney

SEC Approves Registration Rules for Municipal Advisors The Securities and Exchange Commission recently voted to adopt rules establishing a permanent registration regime for municipal advisors as required by the Dodd-Frank Act.  The rule is currently slated...

Rule 506 of Regulation D Recent Amendments Regarding General Solicitation and General Advertising – South Florida Private Placement Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney

Rule 506 of Regulation D Recent Amendments Regarding General Solicitation and General Advertising – South Florida Private Placement Fraud and Misrepresentation Litigation and FINRA Arbitration Attorney: The Securities and Exchange Commission (the...

Notice of Adoption of Final Rule for Broker – Dealers Engaging in a Retail Forex Business – South Florida Retail Forex FINRA and NFA Arbitration Attorney

Adoption of Final Rule for Broker-Dealers Engaging in a Retail Forex Business The Securities and Exchange Commission (Commission) recently announced the adoption of a final rule (Rule 15b12-1) to permit a registered broker-dealer to engage in a retail forex...

Proposed Rules Relating to the Implementation of JOBS Act and Private Placement General Solicitation and Advertising Issues

SEC Proposes Rules to Implement JOBS Act Provision About General Solicitation and Advertising in Securities Offerings August, 2012: Text of Chairman’s statement The Securities and Exchange Commission recently proposed rules to eliminate the prohibition against...

SEC Approves Consolidated FINRA Rules Governing Know-Your- Customer and Suitability Obligations

SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer: Effective October 7, 2011, new consolidated FINRA rules governing your broker/dealer’s and your account executive’s know-your-customer and suitability obligations become effective for the...