Tagged: dodd frank

October 29, 2013 @ 11:20 am By JD Alois  |  

MyNewFinancialAdvisor, the nation’s largest on-line network introducing mass affluent Baby Boomers to financial advisors, announced the addition of a new product offering: crowdfunding portals. The company is providing complimentary crowdfund portals to privately held pre-IPO companies and attracting the wealth management accounts from the executives utilizing… Read More

October 10, 2013 @ 3:46 pm By Charles Luzar  |  

Ohio Division of Securities Commissioner Andrea Seidt is now acting President of the North American Securities Administrators Association (NASAA), the “oldest international organization devoted to investor protection.” She was previously Vice President of the NASAA. She replaces A. Heath Abshure of Arkansas as President of… Read More

July 31, 2013 @ 8:53 am By Charles Luzar  |  

Yesterday SEC Chariman Mary Jo White addressed the timeline for implementation of the remainder of mandates enclosed in the JOBS Act, including rules regarding non-accredited crowdfund investing. The SEC has proposed or adopted rules for over 80 percent of the more than 90 Dodd-Frank Act… Read More

December 5, 2012 @ 3:37 pm By Charles Luzar  |  

Washington, D.C., Dec. 5, 2012 — The Securities and Exchange Commission today announced that Robert W. Cook, Director of the SEC’s Division of Trading and Markets, plans to leave the agency. Since joining the SEC in January 2010, Mr. Cook has led the Division’s broad regulatory… Read More

December 5, 2012 @ 9:40 am By A. Brian Dengler, CFIRA  |  

Washington, DC – December 4, 2012 – Meredith Cross, who directed the SEC division overseeing the implementation of the Jumpstart Our Business Startups Act and Dodd-Frank Wall Street Reform Act, says she is stepping down to return to the private sector. Ms. Cross has served as the Director of the… Read More