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Categories › Broker-Dealer Registration
Apr 28, 2016
House of Representatives Passes the HALOS Act; Fair Access to Investment Research Act of 2016 is Introduced
Apr 4, 2016
FinCEN Proposes to Amend Definition of Broker-Dealer in Securities to Include Funding Portals
Feb 10, 2014
SEC Grants Relief for Private Company M&A Brokers
Apr 15, 2013
Broker-Dealer Registration Requirements for Funds; Requirements for Funding Portals
Apr 1, 2013
AngelList Receives No-Action Letter Guidance
Mar 29, 2013
FundersClub Obtains Broker-Dealer Registration No-Action Relief
Feb 11, 2013
New JOBS Act-related Broker-Dealer FAQs Published
Aug 16, 2012
ABA Task Force Tries Again on “Finder” Issue