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Firm Registration

December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice – 11/16/18
    2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
  • Regulatory Notice 18-38
    Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
  • Regulatory Notice 18-37
    Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
  • Election Notice – 10/29/18
    Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council

RSS SEC Press Releases

  • Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
    The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings (ICOs).  These are the Commission’s first cases imposing civil penalties solely for ICO securities offering registration violations.  Both companies have agreed to return funds to harmed investors, register the tokens as securities, file periodic reports […]
  • SEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign
    The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret Streiner, Lawrence Silver, Alfred Colucci, and Charles Noska—with fraud in connection with a scheme to mislead investors.  According to the SEC’s complaint, between February and August 2016, the company bought at least 559,662 downloads from […]
  • SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
    The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for defrauding elderly and unsophisticated investors. The latest charges allege that First Choice Healthcare Solutions Inc. CEO Christian Romandetti, the boiler room, and four others, manipulated the company’s shares generating more than $3.3 million of illegal profits […]

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  • Time to Prepare for Your Rule 3120 Annual Review
  • Cybersecurity: Taming the Lion
  • Preparing for the New Form ADV Amendments

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