Banking and Finance

Recent Posts

Why You Can’t Really Include Non-Accredited Investors in Rule 506 Offerings
Posted on 1 Sep 2015 by Alexander Davie

One common misconception I encounter among startups is the idea that companies raising capital can include non-accredited investors in Rule 506[1] offerings. While it is technically true that a Rule 506 offering may include up to 35 non-accredited investors... Read More

FINRA Rule Regarding Payments to Foreign Agents
Posted on 31 Aug 2015 by Omar Hakim

Earlier this week, FINRA Rule 2040 (the “Rule”) went into effect. The Rule requires all FINRA members to disclose to investors all fees and commissions paid to foreign agents and to receive written acknowledgement by investors that they are... Read More