Tagged: heritage

Finders Bill: Legislation in Congress May Help Small Firms Raise Capital and this Paper Explains Why

Small businesses in the US, and just about every other country, are the life blood of the economy where they operate. This is a fact. Providing access to capital to smaller firms is thus a vital need to drive economic growth, create jobs, and enable… Read More

A New Direction for FINRA? – Washington, DC & Live Stream

The Financial Industry Regulatory Authority (FINRA) is a regulator of central importance to the functioning of U.S. capital markets. It regulates nearly 4.000 broker-dealers and almost 650,000 registered representatives.  It is a private, not-for-profit organization. In 2015, FINRA levied $94 million in fines against broker-dealers,… Read More

Absolutely Vital: Improving Entrepreneurs Access to Capital

Entrepreneurship and the creation of small business is vital to the economic growth of the country and the welfare of the nation. This is a simple, indisputable fact. Yet too frequently, small business and entrepreneurs get pushed to the side as policymakers and regulators focus… Read More

Comments Due for US Treasury Proposal to Add Compliance & Cost to Crowdfunding Portals

FinCEN, a bureau of the Department of the Treasury, has proposed changing the regulatory definition of a “broker or dealer in securities.”  The proposed amendment will impact crowdfunding portals as created under the JOBS Act of 2012.  According to FinCEN; “these amendments would require funding… Read More

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