6 issues make you control your Credit Score like a toy
It is known that the higher your Credit Score, the more financial freedom it will give you. Many people fall the trap of credit cards without feeling…
It is known that the higher your Credit Score, the more financial freedom it will give you. Many people fall the trap of credit cards without feeling…
FINRA member broker-dealers must have principals, also known as supervisors . For most firms, one of these principals must be registered as a Series …
An introducing broker-dealer has a relationship with customers in which it makes recommendations to customers on how and what to trade, but let’s an…
If a customer buys 500 shares of SBUX, his broker-dealer finds a market maker who wants to sell 500 shares right now at their offer price. Such trade…
Even though we just looked at concerns for non-accredited purchasers in Reg D private placements, anyone can invest in a "crowdfunding" sec…
So, commercial paper, T-Notes, and municipal bonds are exempt securities. They are good to go without any paperwork being filed with the SEC. There a…
The Securities Act of 1933 is a piece of federal legislation, so it's not surprising the federal government is not required to follow it. That…
Normally, anyone caught trying to artificially move the price of a security on the secondary market is subject to regulatory problems, civil liabilit…
Specific Types of Offerings In a registered secondary offering the key word is secondary. As with all secondary or non-issuer transactions, the proc…
An investment banking firm negotiates the terms of the underwriting deal with the company planning to go public and then acts as the managing underw…
To complete a securities offering, under the Securities Act of 1933, an issuer first registers with the Securities and Exchange Commission (SEC) . Th…
Public companies raise money by issuing stocks and bonds to investors, who can trade the securities with other investors on the secondary market. Ex…
When a person wants to create a project, he needs funding from his own money. The project is called "individual project". When his own reso…