Finders- The Facts Related to Broker-Dealer Registration Requirements
LAnthonyESQ
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  • Parts 1
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  • Reads 18
  • Votes 0
  • Parts 1
  • Time <5 mins
LAnthonyESQ
Ongoing, First published Nov 05, 2015
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Securities Attorney Laura Anthony- The Securities and Exchange Commission (SEC) generally prohibits the payments of commissions or other transaction based compensation to individuals or entities that assist in effecting transactions in securities, including a capital raise, unless that entity is a licensed broker-dealer. The SEC considers the registration of broker-dealers as vital to protecting prospective purchasers of securities and the marketplace as a whole and actively pursues and prosecutes unlicensed activity. The registration process is arduous, including, for example, background checks, fingerprinting of personnel, minimum financial requirements, membership to SRO’s and ongoing regulatory and compliance requirements.
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Wendizzy's Writer Room

2 parts Ongoing

In this book, you'll get a behind the scenes look at how your favorite characters were born, my creative process, and the dirty details never before revealed. Tex's Camp Q&A: Come sit by the fire and ask me whatever you'd like. We can roast marshmallows, tell scary stories, and hang out in the comments like a big, happy family. Gator's Backstage Pass: A place full of secrets. Learn the-sometimes embarrassing-details on how my wildest scenes came to life, facts about the characters, the process, and myself.

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