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The Securities and Exchange Commission (SEC) has established rules to regulate the offer and sale of securities. These rules generally require that the offer and sale of securities must be registered with the SEC unless an exemption from registration applies. The...

Every year, U.S. investors invest billions of dollars in the markets. It is expected to grow as more and more foreign broker/dealers seek to attract U.S. investors. When a foreign company seeks to conduct business in the U.S., it needs someone to help it navigate and...

You want to ensure you’re in good hands when it comes to the future of your company. You want to maximize the valuation of your business, and professional financial guidance from an experienced investment banker will help you go a long way. An investment banker is a...

In the United States and other countries throughout the world, the definition of what constitutes a securities transaction is often misunderstood. In the US, the test of what is, or isn’t, a security is rooted in decisions handed down from the highest cour ts and...

When owners are looking to sell their businesses, they need to consider the impact of taxes on the sale. Savvy business owners can work with their investment bankers and CPAs to decrease or postpone the tax burden until later years, when the former owner may be in a...

Business owners often have the vast majority of their wealth dedicated to the companies they have built their professional lives around. Successful companies come from a labor of love and unique devotion to growing personal wealth through hard work and a commitment to...

2021 was a challenging year for many companies with uncertain economic conditions and an ever-changing regulatory environment. One natural outcome for many businesses and industries was a marked uptick in merger and acquisitions. Global mergers and acquisitions...

FINRA, an acronym for Financial Industry Regulatory Authority, is a non-governmental, independent authority that governs registered brokers and broker/dealer firms in the USA. This body writes and enforces the rules that the securities dealers must abide by. In order...

Compliance is one of the most vital aspects of any business, and simultaneously one of their biggest challenges. Non-compliance has many consequences, ranging from monetary losses to even imprisonment. In fact, in 2020, three major U.S. banks—Goldman Sachs, Wells...

According to research, up to 64% of small businesses struggle financially. Working with a qualified professional is essential if you want to invest your money. A certified broker dealer can help you make wise investment choices and ensure that your money works for...