Why do I need a FINRA Broker-Dealer?
Broker-dealers are an important element of the fundraising process, and selecting the right one is crucial to your success. Some states require issuers to work with a broker-dealer.
Broker-dealers are an important element of the fundraising process, and selecting the right one is crucial to your success. Some states require issuers to work with a broker-dealer.
The LSI Blog features an interview with Scott Huennekens, the keynote speaker at the 2021 Emerging Medtech Summit, discussing his career, his “Go, go, go” philosophy.
RegTech are the various technology solutions to improve compliance through efficiency, allowing companies to keep up with evolving regulations.
We take for granted that we can easily trade stocks online, move them between brokers, and automatically receive dividends and shareholder communications. The recent rapid growth of private placements has pushed the need for similar infrastructure in the private markets.
