Financial Industry Regulatory Authority

and financial advisors face a number of daunting challenges in todays Business environment. These challenges have the potential to severely impact this important financial services channel by substantially increasing the cost of doing business. It is essential that IBDs and their affiliated financial advisors develop effective means for overcoming these obstacles so that they may continue to effectively

Improving on Financial Disclosure & Transparency in the Municipal Bond Market ISSUE Today, the municipal bond market holds nearly $3.7 trillion in principal outstanding from over one million unique issues. This debt primarily finances public projects for the 46,000 local and state government issuers participating in the market. Unfortunately, exemptions for disclosure requirements as well as an ineffective regulatory structure cultivated a municipal bond market that, unlike the corporate equity

Introduction The crowdfunding industry has emerged as an attractive option for investors and entrepreneurs. Group Capital, a Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) registered broker-dealer, recognized the growth opportunity and planned to leverage the equity crowdfunding phenomenon. As an illustration, the 2009 revenue was $530 million and over the past six years emerged as a $34 billion industry (2015 CF-The Crowdfunding Industry Report, n.d.). The

or Facebook. Group Capital, a Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) registered broker-dealer, intend to leverage their experience as serial entrepreneurs and savvy

the industry gaining experience, contacts, and wisdom I think I’d like to possibly venturing into wealth management. For the sake of this report we will be keying in on becoming a stockbroker. Becoming a stockbroker is not what it used to be. Years ago a well-connected fellow with a good feel for numbers could break into the industry but that’s not the case anymore. All the licenses were needed back then but a degree is now required. The best fields of study for getting into this industry are Finance

Group Capital is a registered broker-dealer with Financial Industry Regulatory Authority and the Securities (FINRA) and Exchange Commission (SEC) in Clarks Summit, Pennsylvania. Licensed to conduct securities business in fifty states and the surrounding territories, Group Capital provides accredited investors the opportunity to purchase shares of private companies employing equity-based crowdfunding. Founded in 2013, they anticipate disrupting the method small enterprises access capital using the

The American financial industry is a very active industry in the world. Although the history for American financial industry is shorter than other old capitalist counties, such as English, France , Netherland, due to the industry ‘s potentiality, creativity and successful supervision comes from government ,the American financial industry has been growing fast since it was established hundreds year ago. Overall ,at present ,from the aspects of industry scale and structure ,monetary policy and the

The American financial industry is a very active industry in the world. Although the history for American financial industry is shorter than other old capitalist counties, such as English, France , Netherland, due to the industry ‘s potentiality, creativity and successful supervision comes from government ,the American financial industry has been growing fast since it was established hundreds year ago. Overall ,at present ,from the aspects of industry scale and structure ,monetary policy and the

Australia has possessed an extremely successful financial market system courtesy to the Government implementation of influential regulatory bodies. These regulatory bodies such as the Reserve Bank of Australia (RBA), Australian Securities and Investment Commission (ASIC) and the Australian Prudential Regulation Authority (APRA), play a highly significant role in the operation of the Australian economy. Their responsibilities are to regulate Australia’s financial markets, to make the Australian economy fair

Financial crises have plagued the international financial system for many decades. Indeed, they are becoming quite common lately. This quasi-permanent and problematic aspect of the global financial system can be highlighted by the problems regarding the sovereign debts of Asia, Africa, Central Europe, Latin America and the Middle East in the 80s, the 1987 stock market crash, the European foreign exchange crisis in 92-93, the bond market shock in 94, the financial problems that affected Asia, Brazil