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Crowdfunding: Netcapital Seeks Broker-Dealer License To Boost Potential Revenue Generation |...
Crowdfund Insider· 7 hours agoNetcapital Securities Inc. has reportedly applied for broker-dealer registration with the Financial...
Prometheum's Contentious Answer to Crypto Compliance Is Running Late
CoinDesk via Yahoo Finance· 2 hours agoMuch of the crypto sector has been apprehensive about the ribbon cutting on Prometheum's custody and...
LPL Financial (LPLA) Completes Crown Capital Acquisition
Zacks via Yahoo Finance· 3 hours agoThe deal, announced in July 2023, expands the company’s footprint in the California market and...
Mutual Funds Find This Bank Stock's Steady Growth Compelling
Investor's Business Daily· 11 minutes agoThe financial company also owns Axos Clearing and Axos Invest, which provide securities clearance...
JD Supra: New T+1 Settlement Cycle Takes Effect May 28th
JD Supra· 27 minutes agoThe SEC’s new rules imposing a T + 1 settlement cycle for most securities transactions take effect on May 28, 2024. The previous default settlement cycle had been T + 2. For firm commitment ...
SEC Claims Power Up Lending, Other Affiliated Firms Operated As Unregistered Securities Dealers |...
Crowdfund Insider· 2 days agoThe Securities and Exchange Commission (SEC) has filed charges against Curt Kramer and his...
JD Supra: Does a Private Fund Need a PPM?
JD Supra· 31 minutes agoThe short answer is no. A private investment fund (whether a venture capital fund, private credit fund, private equity fund, hedge fund, fund-of-funds or other type of non-registered fund) is ...
T+1 Settlement Cycle: Implications for Investment Advisers | JD Supra
JD Supra· 6 days agoAs discussed below, the amendments and new rule will have implications for many investment advisers. Advisers should therefore review their settlement practices, compliance policies and procedures ...
BlackStar will Receive another Patent on its Revolutionary Digital Trading Platform: A Blockchain...
Digital Journal· 6 hours agoWhen this patent issues in due course through the USPTO, anticipated in June 2024, BlackStar will have three patents issued that cover blockchain technology as applied to the traditional < ...
Robinhood Met With SEC 16 Times 'In Good Faith': CEO - Decrypt
Decrypt· 7 hours agoRobinhood CEO Vlad Tenev revealed that the fintech firm had met with the U.S. Securities and...