Gefragt von: Johan Torsteinsrud
Fragesteller Allgemeines

Finra Portals We Regulate

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Zuletzt aktualisiert: 2022-01-29

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Funding Portals We Regulate | FINRA.org

03.01.2022 · A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA. Learn more about funding …
Url: https://www.finra.org/about/firms-we-regulate/funding-portals-we-regulate
Funding Portals We Regulate | FINRA.org

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Firms We Regulate | FINRA.org

Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.
Url: https://www.finra.org/about/firms-we-regulate
Firms We Regulate | FINRA.org

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Funding Portals | FINRA.org

FINRA created and operates the FINRA Funding Portal Registration Depository TM online electronic filing system to track funding portal registrations and information. Funding Portals We Regulate. FINRA maintains a list of firms that are registered with the SEC as funding portals and are funding portal members of FINRA.
Url: https://www.finra.org/registration-exams-ce/funding-portals
Funding Portals | FINRA.org

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Broker Dealer Firms We Regulate - T | FINRA.org

14.12.2021 · Broker Dealer Firms We Regulate - T | FINRA.org. T CAPITAL FUNDING, LLC. 610 N. WYMORE ROAD, SUITE 120, MAITLAND, FL 32751. T&G PRIVATE CAPITAL LLC. 733 THIRD AVENUE, 16TH FLOOR, NEW YORK, NY 10017. T. E. LAIRD SECURITIES, LLC. 79 OTIS AVENUE, ST. PAUL, MN 55104. T. ROWE PRICE INVESTMENT SERVICES, INC.
Url: https://www.finra.org/about/firms-we-regulate/firms-we-regulate-t
Broker Dealer Firms We Regulate - T | FINRA.org

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Former Funding Portal Members | FINRA.org

28.12.2021 · The following are former funding portal members of FINRA. Avonto, LLC. SEC File No.: 7-80. 2435 E. North Street, Ste. 1108-178. Greenville, SC 29615. Chonky Corp. SEC File No.: 7-202. 1349 Bernal Ave. Burlingame, CA 94010.
Url: https://www.finra.org/about/funding-portals-we-regulate/former-funding-portal-members
Former Funding Portal Members | FINRA.org

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None | FINRA.org

14.12.2021 · Broker-Dealer Firms We Regulate - A. # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z. A. P. SECURITIES, INC. 15 WATERVIEW DR, CENTERPORT, NY 11721. Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721. A.BRIDGE REALVEST SECURITIES CORPORATION. 6 FOREST AVENUE, SECOND FLOOR, PARAMUS, NJ 07652. A.C.R. SECURITIES, INC.
Url: https://www.finra.org/about/firms-we-regulate/broker-dealer-firms-we-regulate
None | FINRA.org

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None | FINRA.org

14.12.2021 · Broker-Dealer Firms We Regulate - W. # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z. W CAMPION CAPITAL LLC. 4242 SIX FORKS ROAD, SUITE 820, RALEIGH, NC 27609. W G SECURITIES, LLC. 1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525. W&S BROKERAGE SERVICES, INC. 400 BROADWAY, CINCINNATI, OH 45202.
Url: https://www.finra.org/about/firms-we-regulate/broker-dealer-firms-we-regulate/23
None | FINRA.org

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SEC.gov | Registration of Funding Portals

Url: https://www.sec.gov/divisions/marketreg/tmcompliance/fpregistrationguide.htm
SEC.gov | Registration of Funding Portals

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Crowdfunding Intermediaries - Funding Portals vs. Broker ...

19.08.2019 · Funding Portals vs. Broker-Dealers – Reg CF Intermediaries. Regardless of whether a website is a funding portal or a broker-dealer, they must be registered with the SEC and a member of FINRA. Also regardless of which type they are, all Reg CF intermediaries must: Conduct background checks on officers, directors, and 20% equity holders
Url: https://crowdwise.org/funding-portals/crowdfunding-intermediaries-funding-portals-vs-broker-dealers/
Crowdfunding Intermediaries - Funding Portals vs. Broker ...

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A Few Minutes With FINRA: High-Risk Registered Representative Program

A Few Minutes With FINRA: High-Risk Registered Representative Program

Added by: Bridger Pennington

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WHAT LICENSES DO YOU NEED FOR YOUR FUND?

WHAT LICENSES DO YOU NEED FOR YOUR FUND?

Added by: FINRA

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FINRA Technology: Innovation Is a Part of Our DNA

FINRA Technology: Innovation Is a Part of Our DNA

Added by: FINRA

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May 2022 FINRA Board Update

May 2022 FINRA Board Update

Added by: Polymath

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Security Tokens and the Regulatory Landscape: what's possible now and what's coming next

Security Tokens and the Regulatory Landscape: what's possible now and what's coming next

Added by: Darin Mangum

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Form C Misconceptions: Regulation Crowdfunding

Form C Misconceptions: Regulation Crowdfunding

Added by: Puppet

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Enforcing Compliance at FINRA

Enforcing Compliance at FINRA

Added by: Internet Marketing

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WebinarMartyTate oct lates

WebinarMartyTate oct lates

Added by: Amazon Web Services

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Steve Randich of FINRA Describes How Using AWS Has Improved System Performance 400%

Steve Randich of FINRA Describes How Using AWS Has Improved System Performance 400%

Added by: FINRA

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March 2022 FINRA Board Update

March 2022 FINRA Board Update
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