Views on improving the integrity of global capital markets
FINRA
SEC’s Proposed Exemption for Finders Would Short-Change Investor Protection and Market Transparency
Finders with the right contacts among investors can play useful roles in bridging funding gaps. Unfortunately, however, the world of finders also has a dark side of fraudsters, market manipulators, and bad actors. The SEC's proposed exemption fails to acknowledge this.
Self-Regulation in the Financial Markets
A distinguished roster of regulators, practitioners, and legal scholars gathered recently in Washington DC to assess the state of self-regulation. Here are some key takeaways from the event.