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Investor Relations Firm Employee Indicted

On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli.

FINRA proposes Pilot Program to Widen Ticket Sizes

The "SEC" announced that the national securities exchanges and the Financial Industry Regulatory Authority ("FINRA") filed a proposal to establish a national market system plan to implement a 12-month pilot program to widen tick sizes for certain stocks with smaller capitalization.

Rule 144's Currenet Public Information Requirement

One of the requirements of Rule 144 is that the issuer have current public information available to the public at the time of the resale.

Fraud-on-the-Market Theory Questioned

Fraud on the Market Theory Questioned

Regulation A and the Reawakening of U.S Entrepreneurship!

There is little doubt that innovation and entrepreneurship are the backbone of this nation.

Social Media Compliance for Financial Services

Social Media Regulation, Compliance and Governance in the Financial Services FINRA SEC

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