HomeArticles

Articles

Articles

Start A Crypto Exchange or ICO Using An ATS

Starting A Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically since its advent in 2017. Now to start a crypto exchange or ICO one must first register as either a National Exchange or an Alternative Trading System (AT...
  • Recent Articles
  • BD Owners
  • BD Buyers
  • Compliance

Recent Articles

BD Owners

BD Buyers

Compliance

Start A Crypto Exchange or ICO Using An ATS

Starting A Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Broker-Dealer? And What is the Process to Buying One?

[vc_row][vc_column][vc_column_text] Shell Broker-Dealers & The Process of Buying One It is common knowledge that transactions in the securit...

Social Media & Finra Requirements for Broker-Dealers

- By Barry Gainsburg & Christopher Driscoll, CXG Social Media & Finra Requirements for Broker-Dealers In a world of evolving social m...

Broker-Dealers under Scrutiny for Selling VIX-related Products

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Small Firm Broker-Dealer Helpline

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Finra to Streamline CMA/NMA Process

Finra to Streamline CMA/NMA Process Anyone who has ever applied with the Financial Industry Regulatory Authority (FINRA) for a Continued Membe...

Start A Crypto Exchange or ICO Using An ATS

Starting A Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Broker-Dealer? And What is the Process to Buying One?

[vc_row][vc_column][vc_column_text] Shell Broker-Dealers & The Process of Buying One It is common knowledge that transactions in the securit...

Social Media & Finra Requirements for Broker-Dealers

- By Barry Gainsburg & Christopher Driscoll, CXG Social Media & Finra Requirements for Broker-Dealers In a world of evolving social m...

Broker-Dealers under Scrutiny for Selling VIX-related Products

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Small Firm Broker-Dealer Helpline

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Finra to Streamline CMA/NMA Process

Finra to Streamline CMA/NMA Process Anyone who has ever applied with the Financial Industry Regulatory Authority (FINRA) for a Continued Membe...

Start A Crypto Exchange or ICO Using An ATS

Starting A Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Broker-Dealer? And What is the Process to Buying One?

[vc_row][vc_column][vc_column_text] Shell Broker-Dealers & The Process of Buying One It is common knowledge that transactions in the securit...

Social Media & Finra Requirements for Broker-Dealers

- By Barry Gainsburg & Christopher Driscoll, CXG Social Media & Finra Requirements for Broker-Dealers In a world of evolving social m...

Broker-Dealers under Scrutiny for Selling VIX-related Products

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Small Firm Broker-Dealer Helpline

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Finra to Streamline CMA/NMA Process

Finra to Streamline CMA/NMA Process Anyone who has ever applied with the Financial Industry Regulatory Authority (FINRA) for a Continued Membe...

Start A Crypto Exchange or ICO Using An ATS

Starting A Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Broker-Dealer? And What is the Process to Buying One?

[vc_row][vc_column][vc_column_text] Shell Broker-Dealers & The Process of Buying One It is common knowledge that transactions in the securit...

Social Media & Finra Requirements for Broker-Dealers

- By Barry Gainsburg & Christopher Driscoll, CXG Social Media & Finra Requirements for Broker-Dealers In a world of evolving social m...

Broker-Dealers under Scrutiny for Selling VIX-related Products

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Small Firm Broker-Dealer Helpline

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Finra to Streamline CMA/NMA Process

Finra to Streamline CMA/NMA Process Anyone who has ever applied with the Financial Industry Regulatory Authority (FINRA) for a Continued Membe...
Social media & sharing icons powered by UltimatelySocial