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FINRA

Practice

Regulators Ramp Up Scrutiny of Brokers in an Effort to Protect Senior Investors

Recent report highlights concerns about improper investment recommendations made by financial advisors to seniors.
A&A

SEC to Propose Crowdfunding Rules under JOBS Act

The US Securities and Exchange Commission (SEC) voted unanimously October 23 to propose rules under the Jumpstart Our Business Startups (JOBS) Act that will enable companies to offer and sell securities through crowdfunding.
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