Category: Broker-Dealers

SEC Adopts Amendments to Exemption From National Securities Association Membership
  • Admin
  • Sep 18, 2023
The Securities and Exchange Commission (SEC) has recently approved amendments to the exemption from national securities association membership requirements. These changes aim to streamline the regulat....
Stock Transfer Agent vs Stock Broker – What are the Differences
  • Admin
  • Feb 23, 2023
Where Can You Find Transfer Agents? In addition to the differences in the services they offer, transfer agents may also be located in different places. Transfer agents are often specialized, independ....
The Top Benefits of Using Issuer Dealer Registrations Instead of Using a Broker Dealer on Regulation A offerings
  • Admin
  • Jan 05, 2023
Under Regulation A Tier 2 of the Securities Act of 1933, companies in the early stages of growth now have access to more capital. They can raise up to $75 million from both non-accredited and accredit....