SA 1933 Rule 144 – Global Relay Intelligence & Practice

SA 1933 Rule 144

Enforcement

FINRA disciplinary action update #22

July 26, 2023

Disciplinary decisions issued July 14 – July 20, 2023.

Thomas Hyrkiel3 min read
Crypto

Prometheum says it can bring crypto trading into regulated US market

June 29, 2023

Plan uses exemption US regulatory authorities developed 50 years ago to allow trading of shares that have certain restrictions.

Julie DiMauro3 min read