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What is a broker-dealer?
 
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What is a broker-dealer? In this video, we continue exploring the marketplace stack as we move towards trading. Referenced links: https://www.nyse.com/markets/nyse/membership https://www.sec.gov/reportspubs/investor-publications/divisionsmarketregbdguidehtm.html#II http://www.finra.org/investors/brokers https://www.coinbase.com/legal/user_agreement Follow deeplizard: YouTube: https://www.youtube.com/deeplizard Twitter: https://twitter.com/deeplizard Facebook: https://www.facebook.com/Deeplizard-145413762948316 Steemit: https://steemit.com/@deeplizard Instagram: https://www.instagram.com/deeplizard/ Support deeplizard on Patreon: https://www.patreon.com/deeplizard Support deeplizard with crypto: Bitcoin: 1AFgm3fLTiG5pNPgnfkKdsktgxLCMYpxCN Litecoin: LTZ2AUGpDmFm85y89PFFvVR5QmfX6Rfzg3 Ether: 0x9105cd0ecbc921ad19f6d5f9dd249735da8269ef Recommended books on AI: The Most Human Human: What Artificial Intelligence Teaches Us About Being Alive: http://amzn.to/2GtjKqu Recommended books on trading: --Beginner-- Real Money: http://amzn.to/2pDaf15 --Intermediate-- The Daily Trading Coach: http://amzn.to/2pA7Uni --Advanced-- The Black Swan: http://amzn.to/2GjusT4 Antifragile: http://amzn.to/2IKOvbn Skin in the Game: http://amzn.to/2pwbTBo Coinbase sign up (You get $10 in BTC & we get $10 in BTC): https://www.coinbase.com/join/5934c12567d6760847b9a8dd GDAX playlist: https://www.youtube.com/playlist?list=PLZbbT5o_s2xr17PqeytCKiCD-TJj89rII Crypto hardware wallets: Ledger Nano S: http://amzn.to/2FZGP7y Trezor: http://amzn.to/2FZHs0U
Views: 2119 deeplizard
FINRA and Finder Fees; Broker Dealers by Laura Anthony, Palm Beach
 
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FINRA and Finder Fees; Broker Dealers by Laura Anthony, Palm Beach- Broker-dealers lack an incentive to engage in small private capital-raising transactions. In addition to regulatory and liability concerns, the amount of a capital raise by small and emerging companies is often small (less than $5 million) and accordingly, the potential commission for a broker-dealer is limited as compared to the time and risk associated with the transaction. Most small and middle market bankers have base-level criteria for acting as a placement agent in a deal, which includes the minimum amount of commission they would need to collect to become engaged. From a regulatory perspective, when acting as placement agent in a private offering, broker-dealers must consider FINRA filing rules, general know-your-customer and suitability requirements as well as statutory liability under Dodd-Frank and the SEC antifraud provisions. Even when a broker agrees to act as placement agent, it can often be difficult to locate investors for small companies. It would be helpful if unlicensed individuals could refer investors to such a broker-dealer, who would then ensure that proper disclosure has been made to the investor, and that the investment is suitable for such investor. However, FINRA Rule 2040 prohibits the payment of transaction-based compensation by member firms to unregistered persons. FINRA Rule 2040 expressly correlates with Section 15(a) of the Exchange Act and prohibits the payment of transaction-related compensation unless a person is licensed or properly exempt from such licensing. Rule 2040 prohibits member firms from directly or indirectly paying any compensation, fees, concessions, discounts or commissions to: (1) any person that is not registered as a broker-dealer under SEA Section 15(a) but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable federal securities laws and SEA rules and regulations; or (2) any appropriately registered associated person, unless such payment complies with all applicable federal securities laws, FINRA rules and SEA rules and regulations. FINRA guidance on the Rule states that a member firm can (i) rely on published releases, no-action letters or interpretations from the SEC staff; (ii) seek SEC no-action relief; or (iii) obtain a legal opinion from an independent, reputable U.S. licensed attorney knowledgeable in the area. This list is not exclusive and FINRA specifically indicates that member firms can take any other reasonable inquiry or action in determining whether a transaction fee can be paid to an unlicensed person. FINRA Rule 2040 specifically allows the payments of finders’ fees to unregistered foreign finders where the finder’s sole involvement is the initial referral to the member firm of non-U.S. customers and certain conditions are met, including but not limited to that (i) the person is not otherwise required to be registered as a broker-dealer in the U.S.; (ii) the compensation does not violate foreign law; (iii) the finder is a foreign national domiciled abroad; (iv) the customers are foreign nationals domiciled abroad; (v) the payment of the finder’s fee is disclosed to the customer; (vi) the customers provide written acknowledgment of receipt of the notice related to the payment of the fee; (vii) proper records regarding the payments are maintained; and (viii) each transaction confirm indicates that the finder’s fee is being paid. #LegalAndComplianceLLC
What Non-US Asset Managers Need to Know about US Broker-Dealer Regulation
 
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US broker-dealer regulations can either provide the first step to expansion into the United States market for certain institutions—or a trap for the unwary. This webinar provides an overview of broker-dealer regulations, including basic registration requirements, available exemptions for private fund managers and recent SEC enforcement actions against firms marketing private funds in violation of US requirements. Topics include: • The basics – what to do if a manager wants to register • The exemptions – what to do if a manager wants to avoid registration at all costs • What can go wrong? Surprising fact patterns and unexpected wrinkles for asset managers
Views: 131 Dechert LLP
21. Exchanges, Brokers, Dealers, Clearinghouses
 
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Financial Markets (2011) (ECON 252) As the starting point for this lecture, Professor Shiller contrasts the view of economics as the theory of the allocation of scarce resources with the view of economics as the study of exchange. After a discussion of the difference between brokers and dealers, he outlines the history of securities exchanges from ancient Rome, to the Amsterdam Stock Exchange and Jonathan's Coffee House in London, until the formation of the New York Stock Exchange. He complements this historic account with an overview of securities exchanges all over the world, covering India, China, Brazil, and Mexico. An example of a limit order book allows him to elaborate on the mechanics of trading at the National Association of Securities Dealers Automatic Quotation System (NASDAQ). Subsequently, he turns his attention to the growing importance of program trading and high frequency trading, but also discusses their impact on the stock market crash from October 19, 1987, as well as on the Flash Crash from May 6, 2010. When talking about fairness in financial markets, particularly with regard to the relation between private investors and brokers, he discusses the National Market System (NMS), the Intermarket Trading System (ITS), and consolidated quotation systems. He concludes this lecture with some reflections on the operations of dealers, addressing the role of inside information and the Gambler's Ruin problem. 00:00 - Chapter 1. Exchange as the Key Component of Economic Activity 05:50 - Chapter 2. Brokers vs. Dealers 12:25 - Chapter 3. History of Stock Exchanges around the World 24:28 - Chapter 4. Market Orders, Limit Orders, and Stop Orders 36:15 - Chapter 5. The Growing Importance of Electronic Trading 44:46 - Chapter 6. Instabilities Related to High Frequency Trading 59:14 - Chapter 7. The Frustrations as Trading as a Dealer Complete course materials are available at the Yale Online website: online.yale.edu This course was recorded in Spring 2011.
Views: 65979 YaleCourses
Broker Dealer Registration and the CAB Rules
 
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FINRA created a new Broker Dealer registration category that allows for limited supervision and regulation of entities not engaged in active trading or management of client funds. The Capital Acquisition Broker (CAB) Rule Set is scheduled to take effect on April 14, 2017. This webinar discusses what the CAB rule set is, how it affects Broker Dealers and other types of firms, the regulatory requirements of a CAB and some of the pros and cons of registering as a CAB.
Views: 285 Cordium
Many dealers contact us about our broker program and training
 
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Some people are amazing by wanting to share intel within Business for Nothing But the question.
Views: 215 Randy Barber
ANYONE Can Buy a Car From Copart WITHOUT A Special License! Here's how...
 
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Link to the Copart Map: https://goo.gl/6Kxh3L The Broker I Use: https://goo.gl/QTw5z4 Email Me: [email protected] Instagram: https://www.instagram.com/samcracc/ I am not a Copart employee, so this advice is based on my own experience. You should contact Copart before making any purchase if you have any questions.
Views: 138622 Samcrac
Crypto Startup Uphold Moves to Become Licensed U.S. Broker-Dealer - CoinDesk
 
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Crypto Startup Uphold Moves to Become Licensed U.S. Broker-Dealer - CoinDesk Digital money platform Uphold is looking to become a broker-dealer in the U.S. after acquiring a registered firm called JNK Securities, it was announced Wednesday. The company has now filed with the Financial Industry Regulatory Authority (FINRA) for approval of the change of ownership to become a r... ► SUBSCRIBE FOR MORE VIDEOS: https://goo.gl/NYaHq2 ► Bitcoin News -Alt Coin news - coin telegraph - coindesk - coin market cap https://goo.gl/45UVFu ★★★ Thanks for watching! Please leave a like if you enjoyed and tell me what you think in the comments! Thanks ★★★
Views: 9 CoinKorea
Independent Broker Dealer
 
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http://Cross-Search.com For a confidential call, please contact us at 800-247-3272 Welcome to Cross Search. Sometimes finding your way to a new broker dealer can feel like navigating your way through a maze. With hundreds of broker dealers to choose from, it can be difficult to find a new firm all while continuing to run your business. Our firm's decades of experience have equipped us to guide you through the process and help you find the best broker dealer for YOUR needs in an efficient non-complicated way. Hi, I'm Jodie Papike- Cross Search has successfully helped thousands advisors in their quest for change. In 1989 my father started our business on the premise that advisors needed a source that could add value and efficiency in finding their ideal broker dealer. Since that time we have developed relationships with and learned the ins and outs of all of the major independent broker dealers. We realize that changing broker dealers is a huge step. We know that you are placing your business and your future in our hands and I personally take that trust very seriously. But, believe me, your trust is well-placed. Whether you are an advisor coming from a bank, a wire house, or are already Independent, you have found the resource to help you navigate through this challenging process. If you would like to know more about the process or would like to explore your options, please give us a confidential call. We look forward to hearing from you. San Diego, growing your business with video, homepage video, video production, editing, online video commercials
Views: 12720 Cross Search
Independent Broker Dealer Consolidation
 
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Independent Broker Dealer consolidation. The trend continues. It was recently announced that HBW Partners, an Independent broker dealer with 55 Independent advisors is moving to Cetera Advisor Networks. Founded in 1991, HBW Partners is located in Simi, CA and managed $820 Mill. in assets. The move was motivated by a desire to "keep the most-beloved features of our firm while eliminating the surging regulatory burdens associated with being a broker-dealer," said Barney Hellenbrand, HBW's chief executive. This broker dealer consolidation trend is nothing new. The industry has seen a dramatic decrease in the number of Broker Dealers in the space. According to Finra, five years ago there were 4,456 broker dealers compared to where the industry is today at approximately 3,869 firms. That is a drastic reduction. Broker dealers are having a more difficult time keeping up with the cost of regulatory changes, increased demand for expensive technology enhancements all while dealing with continuously squeezed profit margins. This makes it all the more important for advisors who are considering a broker dealer change to do due-diligence to make sure you are going to a firm that has longevity in the business. Ask the questions- 1) Who owns the broker dealer? 2) Are they well positioned financially? 3) Are they investing back into the bd so that they remain competitive and are able to grow?
Views: 85 Cross Search
How Does A Broker Dealer Operate?
 
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In some cases, the of broker dealers. Googleusercontent search. Securities regulation parlance to describe stock brokerages, because most of them act as both agents and principals. What is a broker dealer? An in depth guide to what they dowhat dealer and why should you care? Guide registrationbroker definition & example how do dealers work? Quoranet capital requirements for brokers finra. When executing trade orders on behalf of a customer, the institution is said to be acting as broker it required do this because market maker's job facilitate liquidity for that particular security. These individuals may also be called stock brokers or registered representatives. What does a brokerage do? Youtube. When considering a particular firm, always ask to speak with advisors who they believe operate business closest in style your own. Broker dealers who physically operate within the united states must register with sec even if their activities are directed only to foreign investors outside 16 jun 2017 as name itself states, it does both transactions and trades typical of a broker dealer. As registered investment professionals, finra requires us to affiliate with a broker dealer in order buy and sell before you can buy, however, have open brokerage account. Guide to broker dealer registration so, now you own a dealer! davis polk. 12 the broker dealer registration pro cess is coordinated through the central registration depository (crd) system operated by finra. Registered representatives must register with finra, pass a qualifying examination, and be licensed by your state securities regulator before they can do business you transactions accounts of customers or other brokers dealers to another registered broker dealer that carries such on fully disclosed basis, if the receives but does not hold customer. Firms trying to do business is one, i guarantee you, that no law professor in the u. These companies are called broker dealers, and they give you access to the stock exchanges. A brokerage acts as a broker (or agent) when it executes orders on behalf of clients, whereas dealer, or principal, trades for its own account 20 feb 2018 clients. Portals ask do we need to be a broker dealer? Fundamerica. 28 dec 2016 the actual steps involved with starting a broker dealer are far too exhaustive to cover here but the short, summary version sufficient for a layman is as follows. Broker dealer relationship anton lemieux financial groupbroker compliance issues all over the world. To investors, it generally means the person who helps them buy and sell securities 12 dec 2016 these measures could include use of disclaimers clearly indicating that broker dealer's business is exclusively intrastate dealer can only act for or with, provide services to, a in its state, as long does not although many dealers are 'independent' firms solely involved services, others units subsidiaries commercial banks, investment banks companies. Broker dealer regulation mercatus center. 13brok
Views: 26 tell sparky
WEBINAR: 3.29.17 - Why Operate as a Broker-Dealer?
 
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Join us for an exploration into: • What is a security? The ’33 Act and beyond. • Are you unwittingly providing a safe harbor to a foreign firm? o Definition of a Broker-Dealer Under Rule 3(a)(4) and 3(a)(5) o In depth look at SEC Rules on chaperoning • What business revenue should be run through a broker-dealer? • New alternative solution to broker-dealer registration – Capital Acquisition Broker (CAB).
How to get a dealer license without a car lot!
 
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CLICK HERE: http://dealer-license.com for resources for getting a dealer license. BBB A+ Rated Business Watch the video and you'll see a dealership that conforms to the rules but you'd never know it is a car "lot". You'll be surprised when you see it. It should encourage you to explore the possibilities of getting your own license. Does that sound good? Does the need for a car lot to get your dealer license make it seem impossible for you to get a dealer license? It doesn't have to be. This video will show you ONE way you can use to have your car dealership license without a lot. There are others. You'll learn you have to be able to understand and translate the bureaucratic language of your state's licensing department. The secret in reading the dealer license requirements about the business location requirements is to NOT interpret them with preconceived ideas of a used car business. You'll see examples of business location requirements from the Texas dealer license requirements; California dealer license requirements and Colorado dealer license requirements. You do have to have a business location for your license. You cannot sell cars from your home..... unless it happens to be zoned commercial. I know of one like that, just a few miles from me. He has the cars parked in the grass in his front yard! But most of us are not that lucky, so we need to know some inside info on getting your car dealer license without a lot. One way on how to get your dealer license without a lot is explained here.
Views: 188000 Don Massey
Flipping Cars 104: Tips On Dealer License
 
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This video is a continuation of the series on Flipping Cars.DEALER EDUCATION, Learning the used car bussiness, How to buy and sell cars Please Shop and see all The Car Mans Favorite Products & Tools https://www.amazon.com/shop/jamiejonesthecarman Please join our community it would mean The WORLD To Us !!! Thank you for letting us be a part of your world. https://www.instagram.com/jamiejones_thecarman/ https://www.facebook.com/JamieJonesTheCarMan1/ https://twitter.com/JamieJo27129249
Views: 52069 JamieJones TheCarMan
What Is the Securities & Exchange Commission? Is It Effective? U.S. Finance
 
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Within the SEC, there are five divisions. Headquartered in Washington, D.C., the SEC has 11 regional offices throughout the US. The SEC's divisions are:[10] Corporation Finance Trading and Markets Investment Management Enforcement Economic and Risk Analysis Corporation Finance is the division that oversees the disclosure made by public companies, as well as the registration of transactions, such as mergers, made by companies. The division is also responsible for operating EDGAR. The Trading and Markets division oversees self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA) and Municipal Securities Rulemaking Board (MSRB) and all broker-dealer firms and investment houses. This division also interprets proposed changes to regulations and monitors operations of the industry. In practice, the SEC delegates most of its enforcement and rulemaking authority to FINRA. In fact, all trading firms not regulated by other SROs must register as a member of FINRA. Individuals trading securities must pass exams administered by FINRA to become registered representatives.[11][12] The Investment Management Division oversees registered investment companies, which include mutual funds, as well as registered investment advisors. These entities are subject to extensive regulation under various federals securities laws.[13] The Division of Investment Management administers various federal securities laws, in particular the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include:[14] assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff; responding to no-action requests and requests for exemptive relief; reviewing investment company and investment adviser filings; assisting the Commission in enforcement matters involving investment companies and advisers; and advising the Commission on adapting SEC rules to new circumstances. The Enforcement Division works with the other three divisions, and other Commission offices, to investigate violations of the securities laws and regulations and to bring actions against alleged violators. The SEC generally conducts investigations in private. The SEC's staff may seek voluntary production of documents and testimony, or may seek a formal order of investigation from the SEC, which allows the staff to compel the production of documents and witness testimony. The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February 2013.[15] Among the SEC's offices are: The Office of General Counsel, which acts as the agency's "lawyer" before federal appellate courts and provides legal advice to the Commission and other SEC divisions and offices; The Office of the Chief Accountant, which establishes and enforces accounting and auditing policies set by the SEC. This office has played a role in such areas as working with the Financial Accounting Standards Board to develop Generally Accepted Accounting Principles, the Public Company Accounting Oversight Board in developing audit requirements, and the International Accounting Standards Board in advancing the development of International Financial Reporting Standards; The Office of Compliance, Inspections and Examinations, which inspects broker-dealers, stock exchanges, credit rating agencies, registered investment companies, including both closed-end and open-end (mutual funds) investment companies, money funds. and Registered Investment Advisors; The Office of International Affairs, which represents the SEC abroad and which negotiates international enforcement information-sharing agreements, develops the SEC's international regulatory policies in areas such as mutual recognition, and helps develop international regulatory standards through organizations such as the International Organization of Securities Commissions and the Financial Stability Forum; The Office of Investor Education and Advocacy, which helps educate the public about securities markets and warns investors of fraud and stock market scams; The Office of Economic Analysis, which helps the SEC estimate the economic costs and benefits of its various rules and regulations; and The Office of Information Technology, which supports the Commission and staff in information technology, including application development, infrastructure operations. and engineering, user support, IT program management, capital planning, security, and enterprise architecture. The Inspector General. The SEC announced in January 2013 that it had named Carl Hoecker the new inspector general.[16][17] He has a staff of 22. https://en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission
Views: 5501 Way Back
WEBCAST:  SEC Amendments to Broker Dealer Reporting and Financial Responsibility Rules
 
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SEC Amendments to Broker Dealer Reporting and Financial Responsibility Rules
Buy Silver & Gold Bullion At Wholesale, No Brokers License Required
 
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http://www.BuySilverAtCost.com Would you like to be able to buy all of your silver and gold at true WHOLESALE prices? Now you can. And you don't even have to get your broker/dealer license to do it. Introducing the "First Of It's Kind", private, Gold and Silver Wholesale Buyers Club. What was formerly reserved for a very few rich guys...is now available to the public. The Club buys direct from the 10 exclusive distributors who buy directly from the US Mint...and you pay the EXACT same price that our club pays for it. The Club makes zero profit from the gold and silver you buy...none, nada, zip. The only profits are made from a small, annual membership fee. It's a totally concept and it's attracting thousands of smart investors who what to maximize their buying power. To find out more, go to: http://www.BuySilverAtCost.com Bullion Direct: Buy or Sell Precious Metals online, including Gold ... Bullion Direct® is your online source to buy and sell precious metals, including gold, silver, platinum, and palladium coins and bars. ... Nucleo Exchange - Catalog - Account Login - American Eagle Silver Coin (1.000 oz.) http://www.bulliondirect.com/ Silver, Silver Bar, Silver Bars, Silver Bullion, Gold and More ... We are constantly buying silver bullion items like: Silver American Eagles, Silver Canadian Maple Leafs, Silver Bars (1, 10, 100 & 1000 oz), and Silver ... Silver - Gold - APMEX.com - Top 40 Products - Buy Silver Bars http://www.apmex.com/ Shopping results for buy silver bullion NEW Buffalo/Indian Head Nickel Art Coin 1 TROY OZ .999 SILVER BULLION 2010 Silver American Eagle - West Point Mint - Investment Grade ... $1 Face Value 90% SILVER US Coins in gift bag - 90% Silver Bullion $36.95 - Amazon.com SILVERSAVER | Save HONEST money the EASY way | Invest in Silver ... Automatically save in silver for as little as $25 a week; ... safe, reliable way to invest in silver bullion, an asset that will provide security over time. ... ~Bill; SilverSaver gives me the opportunity to buy physical silver using a ... https://silversaver.com/ Silver Art Rounds, Silver, Silver Bar, Silver Bars, Silver Bullion ... 10 OZ SILVER BAR - REPUBLIC METALS CORP- .999 FINE SILVER BULLION ... Is America's Official Investment-Grade Silver Bullion Coin. ... WE BUY SILVER ... http://www.straightsilver.com/store/ How to Buy Silver Bullion Online | http://www.eHow.com How to Buy Silver Bullion Online. Buying silver bullion is the smartest investment you can make with your money. It is easier than ever to buy silver coins, ... http://www.ehow.com › ... › Investment › Buy Silver How Buy Silver Bullion Discover how buy silver bullion; secrets the government and private banks don't want you to know about preserve your wealth. http://www.economiccollapsesurvival.com/how-buy-silver/ - Cached - Similar Buying Silver, Buying Silver Coins, Junk Silver Coins Buying silver, especially buying silver coins from telemarketers, ... Gold coins, gold bullion, silver coins, and silver bullion are the best investments ... http://www.certifiedmint.com/myths_lies.htm Silver Bars, Silver Coins, Gold Coins and Bars, Palladium and ... As a United States Mint American Eagle program retailer we buy and sell American Eagle gold bullion, silver bullion, and platinum bullion coins, each with a ... http://www.bullion.nwtmint.com/ Buy Silver & Gold Coins, Bullion & Bars | Gold Silver Buy Buy Silver & Gold Coins. Protect Against Inflation • Protect Your Savings ... have fast become one of the most popular ways to invest in silver bullion. ... http://www.goldsilverbuy.com/ Silver - Silver Bullion Bars - Buy Silver Bars ... http://www.monex.com How to buy silver bullion and coins. By Nonkel ... Uploaded by nonkelroge http://www.youtube.com http://www.youtube.com/watch?v=J6DJ5VlI3Vg
Views: 14379 Doyle Shuler
Veritaseum (VERI) Jumps 10% as the US Regulators Accept Broker/Dealer License Application
 
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Veritaseum (VERI) Jumps 10% as the US Regulators Accept Broker/Dealer License Application The network has lately applied for a broker/dealer license in the United States and the good news is that it was accepted. However, this does not mean it has been approved. Veritaseum (VERI) team is looking forward to the time they will be allowed to function as a fully-fledged broker/dealer of “sec... ► SUBSCRIBE FOR MORE VIDEOS: https://goo.gl/NYaHq2 ► Bitcoin News -Alt Coin news - coin telegraph - coindesk - coin market cap https://goo.gl/45UVFu ★★★ Thanks for watching! Please leave a like if you enjoyed and tell me what you think in the comments! Thanks ★★★
Views: 65 CoinKorea
BUYING MERCEDES FROM COPART CAR AUCTION WITH NO LICENSE
 
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BUYING MERCEDES FROM COPART CAR AUCTION WITH NO LICENSE ► Our Website: http://mechaniclifestyle.com Hey guys, we have been looking for a new project family sedan and we always liked the way the Mercedes W204 Sport Package looks. We found one right next to us in Los Angeles but we could not bid on Copart Vehicles in California because you have to have a dealers license. So we found a way around it. We used AutoBidMaster broker to get this car. Check out the buy and the whole car will be taken apart for videos soon. We will have video explaining how to use AutoBidMaster soon. Products used in the video: ► Tow Dolly: http://amzn.to/2F726HS ► Straps: http://amzn.to/2oC0Tlk ► OUR MAIN CHANNEL: http://bit.ly/2ad33QG ► BMW E46 ZHP PROJECT http://bit.ly/2g8tOa9 ► 2013 GT86 Project Playlist: http://bit.ly/2dz4xY1 ► 2015 Ford Fiesta ST BUILD Playlist: http://bit.ly/2a59UKp ♦♦♦ Cameras & Gear Used For This Video ♦♦♦ •Cameras Panasonic Lumix FZ300 http://amzn.to/2BNWtNA •Tripod Polaroid 72-inch http://amzn.to/2iVTmP4 •Microphone Polaroid Pro Video Condenser http://amzn.to/2krpSsA •Light NEEWER 160 LED CN-160 Dimmable http://amzn.to/2jjg9Bd •Comuter for editting Lenovo ideapad 310 http://amzn.to/2kqUNFl ♦♦♦ Other Equipment and Gear that I use ♦♦♦ •Camera Sony HD Video Recording HDRCX405 http://amzn.to/2jk8nqB •GoPro HERO5 Black http://amzn.to/2ktNKfj •Extra Computer For Editting Lenovo Ideapad 510 http://amzn.to/2ktOuB7 ► Like Us on FACEBOOK: https://www.facebook.com/worldmechanicsofficialpage ► LIKE & SUBSCRIBE for MORE DIY VIDEOS that could SAVE YOU BIG $$$$$$$ !!! This is not a sponsored video. Everything is purchased by us! The video is meant for entertainment purposes only. Do not Attempt! AMAZON ASSOCIATES DISCLOSURE Auto Repair Guys is a participant in the Amazon Services LLC Associates Program, an affiliate advertising program designed to provide a means for sites to earn advertising fees by advertising and linking to Amazon.com *Disclaimer We, Auto Repair Guys, are not responsible for property damage or injury incurred as a result of any of the information contained in this video. Information given in this video does not guarantee the desired outcome. Any injury, damage or loss that may result from improper use of the tools, equipment, or the information contained in this video is the sole responsibility of the user and not Auto Repair Guys.
Views: 116429 Auto Repair Guys
How to Get Your Auto Dealer License
 
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For more info and 1-step ballpark estimate go to http://www.jwsuretybonds.com/info/videos/license-permit/become-licensed-auto-dealer.htm Want to sell new or used cars? There’s a lot to learn, but we’re here to help! Licensing differs from state to state, but you can select your state below. Bookmark the page so that you’ll have it for future reference. Even though the process varies according to state, there are three steps to getting an auto dealer license. The first step is to get an application for an auto dealer license from your state’s DMV. Next, you need to get a surety bond. Most bond agencies take between 1 and 3 days to underwrite and approve you. Since JW Surety Bonds is the top bond writer in the United States, we can provide you with instant approval. Once you have the completed application and your surety bond, you’ll need to submit both to the state. Then, it’s usually only a matter of weeks until you obtain your auto dealer license. Some aspiring auto dealers may be hesitant over their poor credit. They may have been turned down for loans and bonds before, and the possibility of going into business as licensed auto dealers may seem impossible. However, as the top bond writer in the US, JW Surety Bonds has high-risk markets available, and can approve bonds regardless of an applicant’s credit. Whether an applicant is getting a retailer or wholesaler’s license, the bond is in place to protect customers in case the dealer doesn’t follow the rules of the state. In order to find out how to get the lowest rate, check out our other videos “Bad Credit Bonds Money Saving Tips” http://youtu.be/m5bMZGnMrYA and “How to Get the Lowest Rate on Your License Bond” http://youtu.be/pjV_MK8IykA If you're all set and want to apply, fill out our 5-minute bond application. http://www.jwsuretybonds.com
Views: 17423 JW Surety Bonds
Hedge Funds Nuts and Bolts: Broker-Dealer Issues for Fund Managers
 
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Marketing has become an area of both great importance for hedge fund managers seeking to grow their funds in an increasingly competitive market, and great concern for the U.S. Securities and Exchange Commission (SEC) who believe many managers are conducting themselves in ways that should require registration as a broker-dealer. In this webinar, we discuss the need for fund managers to use a registered broker-dealer in the current regulatory environment, including a review of the Ranieri Partners decision, which gives insight on the SEC’s thinking in this area. We also cover an array of practical issues related to hedge fund marketing, including Form D disclosure, FINRA Capital Acquisition Broker (CAB) Rules, target and related performance and promises/guarantees. Finally, we address issue arising from marketing in the non-institutional space, such as FINRA Filing requirements under Rule 5123.
Views: 258 Dechert LLP
EB-5 Broker Dealer
 
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Full transcription can be seen at: https://www.eb5eb5.com/podcast/eb5-broker-dealer. Charles "Duke" Runnels speak about the role of a Broker Dealer (Investment Banker) in EB-5 Investments.
WHAT IS AN AUTO BROKER
 
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Description
Views: 16612 Willie Burke
SFG Broker Dealer Defined
 
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SFG - Broker-Dealer Defined. APPROVED by American Portfolios Compliance.
Views: 64 Dean Zang Sr
Florida Broker-Dealer Registration Exemption For M&A Brokers
 
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Florida Broker-Dealer Registration Exemption For M&A Brokers- Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control of private operating businesses (“M&A Broker”).
Stock Broker Degrees & Careers | How to Become a Stock Broker , Institutes
 
03:25
Get the latest interview tips,Job notifications, top MNC openings, placement papers and many more only at Freshersworld.com( https://www.freshersworld.com?src=Youtube ). Here is a video on “Careers on Stock Broker ” by a softskill trainer “Krupa”. Make a note about all the points and turn your skill to profession. Hope this information helps you in getting your dream job. Freshersworld.com is the No.1 job portal for freshers jobs in India. Check Out website for more Jobs & Careers. http://www.freshersworld.com?src=Youtube Download our app today to manage recruitment when ever and where ever you want : Link :https://play.google.com/store/apps/details?id=com.freshersworld.jobs&hl=en ***Disclaimer: This is just a training video for candidates and recruiters. The name, logo and properties mentioned in the video are proprietary property of the respective organizations. The Preparation tips and tricks are an indicative generalized information. In no way Freshersworld.com, indulges into direct or indirect promotion of the respective Groups or organizations.
SEC - Security & Exchange Commission - USA
 
01:48
Welcome to the Investors Trading Academy talking glossary of financial terms and events. Our word of the day is “SEC - Security & Exchange Commission - USA” The Securities Exchange Act of 1934 governs the way in which the nation's securities markets and its brokers and dealers operate. When the stock market crashed in October 1929, so did public confidence in the U.S. markets. Congress held hearings to identify the problems and search for solutions. Based on its findings, Congress – in the peak year of the Depression – passed the Securities Act of 1933. The following year, it passed the Securities Exchange Act of 1934, which created the SEC. The SEC has four major divisions. 1. The Division of Corporation Finance ensures corporate disclosure of important information to the investing public. 2. The Division of Trading and Markets ensures fairness, order and efficiency in market activities. 3. The Division of Investment Management helps protect investors and encourages capital formation through oversight and regulation of the investment management industry. 4. The Division of Enforcement investigates securities law violations and initiates civil and criminal actions. The SEC is composed of five commissioners appointed by the U.S. President and approved by the Senate. The statutes administered by the SEC are designed to promote full public disclosure and to protect the investing public against fraudulent and manipulative practices in the securities markets. Generally, most issues of securities offered in interstate commerce, through the mail or on the internet must be registered with the SEC. By Barry Norman, Investors Trading Academy - ITA
Florida Broker Dealer Registration Exemptions
 
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Florida Broker Dealer Registration Exemptions- Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control of private operating businesses (“M&A Broker”). A plain reading of the federal and Florida broker dealer exemptions for M&A Brokers would allow a non-registered broker to perform services and collect a fee for a reverse or forward merger transactions with a non-shell company that is either completely private or that is an alternatively reporting OTC Pink or OTCQX traded company. The Florida statute does not refer to the federal definition of public shell company but rather provides its own definition. The Florida M&A broker exemption defines a “public shell company” as a company that, at the time of a transaction with an eligible privately held company: (a) has any class of securities which is registered, or which is required to be registered with the SEC under the Securities Exchange Act of 1934, or for which the company files, or is required to file, periodic reports under the Exchange Act; (b) has nominal or no operations; and (c) has nominal or no assets or assets consisting solely of cash and cash equivalents. Accordingly, the Florida definition of public shell company does not include public companies that do not file reports with the SEC, such as companies that trade on and alternatively report to the OTC Pink or OTCQX tiers of OTC Markets. The federal definition of shell company, at least the definition in Rule 144 does not limit the company to one that has a class of securities registered under the Exchange Act or that is required to or files reports with the SEC. The federal definition of a shell company in Rule 144 includes any issuer of securities. Since both the federal and state broker registration exemption must be satisfied, completing a transaction with any shell company would be problematic for a non-registered broker. However, completing a transaction with a non-reporting, non-shell company, and collecting a fee as an M&A broker, is not difficult and is clearly allowed. The requirement that the transaction not be registered or required to be registered is easily met. The vast majority of reverse mergers and forward acquisitions are completed using an exemption from registration such as Rule 506. Furthermore, it appears that Florida is contemplating reverse merger and forward acquisition transactions with public companies by specifically addressing exchange offers and requiring financial information and statements and certain disclosure documents in an exchange offer.
How to get into a Car Dealer Auction without a License - Flying Wheels -
 
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How to buy cars at a dealer car Auto auction and get access without having a dealers license - Flying Wheels - * * * * * * how to get into a dealers car auction and how to get access to a dealer license become a used car dealer own a dealership used cars Buy Wholesale how to become a car dealer Ford Explorer Raptor Mustang Jeep Wrangler Chevy Camaro Dodge Challenger
Views: 46096 Flying Wheels
Dealer License Scams?
 
14:40
CLICK HERE: http://dealer-license.com for useful info and tools. This is a review of dealer license offers advertised on the internet. Details on how to evaluate the offers so as to make the right choice of service to use. How to spot scams on dealer license services. Buyer beware of these advertised easy ways to get a dealer license. Educate yourself about the dealer business before investing any money. You must understand what you are purchasing. It is your money and your legal responsibility to know. I have talked with many over the years who were burned by these offers because they did not have a clue about the licensing laws or the car dealer business. It's not complex but it is a regulated industry. Buyer beware of these advertised easy ways to get a dealer license. Educate yourself about the dealer business before investing any money. You must understand what you are purchasing. It is your money and your legal responsibility to know. I have talked with many over the years who were burned by these offers because they did not have a clue about the licensing laws or the car dealer business. It's not complex but it is a regulated industry. Are they all scams? No, but many do not offer complete explanations of their offers. The following details what to watch for in the website offers. Don't just scan the info on their websites. READ EVERY WORD. And before you enter into any deal, verify with your state licensing group that it is valid and legal under your state licensing laws Here are 5 red flags to look for..... You can easily be mislead by not understanding the licensing rules and regulations of YOUR state. 1. Dealer Auction License. The service uses the term "dealer auction license". There is NO dealer auction license. Dealer only auctions are in the business of auctioning vehicles, for a fee to the seller and the buyer, for owners such as dealers, banks, leasing companies, car rental companies, etc. The auction just provides the auction service between the seller and buyer. To access a dealer only auction, the business must be a dealer buyer or a seller exempt from your state's dealer license requirements (banks, leasing companies, insurance companies, car rental companies, etc). 2. Wholesale Dealer License. They are offering you a wholesale dealer license but the services do not make it clear in their promotional material that a wholesale dealer cannot sell to the public. Wholesale dealers can only sell to other dealers. Wholesale dealers act as finders for retail dealers. I have received many phone calls from individuals who have invested $2-$3K in getting a "dealer license" only to find that it was wholesale, worthless for what they wanted to do. 3. Co-op or Shared Licenses. They say they are a consulting firm that will set you up with a dealer in your state or another state. They use the term dealer co-op or shared license. These dealers that they will place you with are usually set up as LLC's with a manager who will provide you training and assistance. Important point: Once you are paired with a dealer, the consulting firm has no legal responsibility for you using the co-op dealer's license. They will however, as stated in the contact, continue to bill the monthly fee. You will also be charged other fees by the co-op/shared dealer license. The "get you a dealer license" services cannot be offered to residents of all states. Why? Because states has set laws or rules to stop the service from being offered to residents of their state. Example: Texas. 4. Co-op/Shared License Issues. States require that a vehicle must be shown and sold at the business location of the dealer. So let's assume you have a shared license from another state. You WILL be allowed into all dealer only auctions. You purchase your first vehicle at the auction. Then you discover..... you do not own it! It will be titled assigned to the shared license holder. You advertise on Craigslist in your town as an individual. Bingo....this is a violation of Federal Trade Commission advertising guidelines. You must advertise it as a dealer. You have also violated the licensing laws of your state. You are advertising as a dealer with the vehicle being located in your state. If you are offering for sale, negotiating and agreeing to a price on a car in your state, then you are required to be licensed in your state and this process must take place at a dealer business location. These servicers will throw around the idea that you are selling on the Internet. Know this..... vehicle businesses do NOT sell on the Internet, they ADVERTISE on the Internet. It may seem like I'm just being stupid in strictly defining words but YOU need to know that every state dealer licensing group in its rules or regulations say that vehicles cannot be displayed and sold off the business premise (without special permission).
Views: 34892 Don Massey
Selling your Broker Dealer
 
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http://Cross-Search.com For a confidential call, please contact us at 800-247-3272 Running a broker dealer in today's environment is very difficult, but I don't have to tell you that, you already know it! Increased regulation, higher costs, fewer dollars going straight to the bottom line and a very competitive recruiting environment have all combined to make it less profitable to run your firm. My name is Larry Papike and I feel your pain. I too have owned and run my own B/D and I know what it's like to work harder, have more risk and make less. The good news is there are solutions to your situation Like, 1-cashing out 2-maintaining control but giving up the back office burden 3-finding a strategic partner We have been working in this space for over 20 years and have developed relationships with firms that may provide solutions that you weren't aware of. If you think it is time for you to explore your solution, give us a call.
Views: 12377 Cross Search
Mental Programs and Spells in Forex  - Advanced Education
 
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Community Links ----------------------------------- Website- http://Forexia.net ----------------------------------- Group Chat- http://forexcommunity.online ----------------------------------- Free FX Signals- http://t.me/forexia ----------------------------------- LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
Trading M/W Formations LIVE (GBPJPY/USDJPY) ~ Forexia
 
28:03
Join the Community! Forexcommunity.online ------------------------------------------------------------------------------ For more check out Forexia.net. Free Signals and Info @ Telegram.me/forexia This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital. *CFTC RULE 4.41 – HYPOTHETICAL OR SIMULATED PERFORMANCE RESULTS HAVE CERTAIN LIMITATIONS. UNLIKE AN ACTUAL PERFORMANCE RECORD, SIMULATED RESULTS DO NOT REPRESENT ACTUAL TRADING. IN ADDITION, SINCE THE TRADES HAVE NOT BEEN EXECUTED, THE RESULTS MAY HAVE UNDER-OR-OVER COMPENSATED FOR THE IMPACT OF ANY OF THE CERTAIN MARKET FACTORS, SUCH AS LACK OF LIQUIDITY. SIMULATED TRADING PROGRAMS IN GENERAL ARE ALSO SUBJECT TO THE FACT THAT THEY ARE DESIGNED WITH THE BENEFIT OF HINDSIGHT. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL OR IS LIKELY TO ACHIEVE PROFIT OR LOSSES SIMILAR TO THOSE SHOWN.
Intro to Astro Trading 2 - The MOON Controls the Market! 195 PIP Trade!
 
22:52
----------------------------------- Community Links ----------------------------------- Website- http://Forexia.net ----------------------------------- Group Chat- http://forexcommunity.online ----------------------------------- Free FX Signals- http://t.me/forexia ----------------------------------- LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— SimpleFX Allows you to trade without the need to verify your account! Check it out -- https://simplefx.com/n/_6362 DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
(Part II)  Regulatory Landscape for Cryptocurrency Issuance | Former SEC Commissioner Troy Paredes
 
10:21
http://www.liquidmarketsgroup.com/liquid-market-capital/ Digital Assets Report: Weekly Show. Recorded LIVE at the New York Stock Exchange. SCN Corporate Connect's Jane Kings sits down with Vincent Molinari - CEO of Liquid M. Capital, to discuss the latest with Blockchain technology and Cryptocurrencies. Joining them this week is Special Guest Troy Paredes, the former SEC Commissioner and Founder of Paredes Strategies. Liquid M Capital, LLC, is a financial technology company and broker dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) Liquid M Capital is the operators of an alternative trading system (“ATS”) that plans to use Blockchain Technology as part of the operation of the ATS. Liquid M Capital is able to facilitate the primary issuance of ICOs as a securities. The approval was a result of Liquid Markets Group’s (the parent of Liquid M Capital) advocacy and petition for rule change to the SEC in late 2015 to amend regulation ATS for unregistered securities. Liquid M Capital has achieved an approval set for a robust alternative trading system, which can transact in the full stack of unregistered and private securities. Alongside their ATS approval, Liquid M Capital was granted a Quotation Bureau which permits the publishing of real-time mark-to-market quotations of private unregistered securities. In addition, the Quotation Bureau has the ability to take indications of interest for securities purchase and sale on a 24/7 basis. incent Molinari is the CEO of Liquid Markets Group, Inc., its subsidiary- Liquid M Capital, LLC (FINRA Registered Broker Dealer), and its ATS- Liquidity M. He is the Co-Founder of Templum, LLC, was previously the CEO and Co-Founder of Gate Global Impact, Inc, is a Co-Founder and Co-Chair of the Blockchain Commission, and is a Co-Founder and Co-Chair of Blockchain for Impact. Mr. Molinari has nearly 3 decades of experience as a licensed person in the securities industry where he began his career at Lehman Brothers and later at Janney Montgomery Scott. He believes new market infrastructure brings transparency, efficiency, and liquidity to the unstructured global alternative asset markets His vision is based on the core beliefs that "actionable knowledge" drives investments and that technology can close the gap between traditional and emerging alternative markets. Vince believes opening the private market for investment can spearhead economic growth and job creation. The company's initiatives in Impact Investing reflect a commitment to bringing positive change through financial innovation and access to capital.
What Does The SEC Oversee?
 
00:47
Html url? Q webcache. What we do sec. What is securities and exchange commission (sec)? Definition facts & summary fin what does the sec do? . Government agency that oversees securities transactions, activities of financial professionals an the 1935 public utility holding company act did away with companies further, authorized sec to break up any unnecessarily large u. The sec & sarbanes oxley act raymond cote. Securities and exchange commission (sec) is an independent, federal government agency responsible for protecting investors, maintaining fair orderly functioning of securities markets, facilitating capital formation mission the usecurities has a when stock market crashed in october 1929, so did public confidence u. Gov securities and exchange commission (sec) investopedia. Does finra regulate registered investment adviser (ria) firms? Who regulates whom? An overview of u. The mission of the sec, as it says on its website is, 'to protect investors securities and exchange commission (sec) allgov departments. How the sec protects investors, maintains market integrity. Show to file complaints and report fraud the sec. Securities and exchange commission is to protect investors, maintain fair, orderly, efficient markets, facilitate capital formation the u. The role of the sec lwc1 chapter 37 flashcards securities and exchange commission wikipedia. The mission of the sec, as it says on its website is, 'to protect investors sec does this by requiring public companies to disclose meaningful financial oversees key participants in securities world, including learn more about a regulatory agency that major segment has impacted our economy and society ways we do not yet understand what do? Division investment management regulates industry, mutual funds, analysts, than 30,000 registrants 12,000 interpretive process ifrs interpretations committee should jun 14, 2014 finra presently regulate registered adviser is appointed oversee broker dealer regulation but stock exchanges, dealers, advisors, funds conduct some investigations, generally leaves up dec 8, 2010 also registers several classes market federal housing finance (fhfa) group government rough division agencies are called upon who oversee? According prior great crash 1929, did addition monitoring publicly held companies. The united states securities and exchange commission or sec is the watchdog of wall streetsecurities seal hangs on facade its building in washington, dc. Securities and exchange commission (sec) is an independent agency of the united trading markets division oversees self regulatory organizations such as financial industry authority sec does not have criminal authority, but may refer matters to state federal prosecutors also other key participants in securities world, including it this primarily by regulating major market a u. Googleusercontent search. Jun 10, 2013 the mission of u. Securities and exchange commission (sec) is the regulating force that oversees controls u. S what
Views: 5 Pin Pin 1
Changing Regulatory Landscape for Cryptocurrency Issuance | Former SEC Commissioner Troy Paredes
 
10:59
http://www.liquidmarketsgroup.com/liquid-market-capital/ Digital Assets Report: Weekly Show. Recorded LIVE at the New York Stock Exchange. SCN Corporate Connect's Jane Kings sits down with Vincent Molinari - CEO of Liquid M. Capital, to discuss the latest with Blockchain technology and Cryptocurrencies. Joining them this week is Special Guest Troy Paredes, the former SEC Commissioner and Founder of Paredes Strategies. Liquid M Capital, LLC, is a financial technology company and broker dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) Liquid M Capital is the operators of an alternative trading system (“ATS”) that plans to use Blockchain Technology as part of the operation of the ATS. Liquid M Capital is able to facilitate the primary issuance of ICOs as a securities. The approval was a result of Liquid Markets Group’s (the parent of Liquid M Capital) advocacy and petition for rule change to the SEC in late 2015 to amend regulation ATS for unregistered securities. Liquid M Capital has achieved an approval set for a robust alternative trading system, which can transact in the full stack of unregistered and private securities. Alongside their ATS approval, Liquid M Capital was granted a Quotation Bureau which permits the publishing of real-time mark-to-market quotations of private unregistered securities. In addition, the Quotation Bureau has the ability to take indications of interest for securities purchase and sale on a 24/7 basis. incent Molinari is the CEO of Liquid Markets Group, Inc., its subsidiary- Liquid M Capital, LLC (FINRA Registered Broker Dealer), and its ATS- Liquidity M. He is the Co-Founder of Templum, LLC, was previously the CEO and Co-Founder of Gate Global Impact, Inc, is a Co-Founder and Co-Chair of the Blockchain Commission, and is a Co-Founder and Co-Chair of Blockchain for Impact. Mr. Molinari has nearly 3 decades of experience as a licensed person in the securities industry where he began his career at Lehman Brothers and later at Janney Montgomery Scott. He believes new market infrastructure brings transparency, efficiency, and liquidity to the unstructured global alternative asset markets His vision is based on the core beliefs that "actionable knowledge" drives investments and that technology can close the gap between traditional and emerging alternative markets. Vince believes opening the private market for investment can spearhead economic growth and job creation. The company's initiatives in Impact Investing reflect a commitment to bringing positive change through financial innovation and access to capital.
Broker Dealers   Year End Financial Requirements
 
01:01:09
The year–end financial closing process and audit preparation “season” is almost upon us. Some call this the “Season of the Witch”… Do not be caught unawares... It is time to ask questions and make decisions to ensure you and your books are ready. What are the auditors going to be focusing on and how will they be approaching your audit?? Join our webinar for help on planning a controlled, and mindful closing process and learn how to address key audit concerns head on. This may be your last chance to keep those year-end demons at bay! Join as we discuss: • Securing and connecting with your Auditor • Effective pre-planning with your Auditor • Considerations for a complete and accurate closing • Areas of Audit Focus • How will your auditor address the new revenue rules implemented in 2018 • New Lease Accounting rules for 2019 • Legislative Update on PCAOB requirements
Understanding Forex Session Timing - THE MISSING KEY!
 
20:04
Yes, this works on about every pair.. Don't go trying it out on crazy exotic pairs until you have mastered it on USD based pairs first (The Majors) as it is much easier to notice. Don't use this as a single strategy, this is just an example of structure and how the market is in constant fluctuations. This is great to combine with our M/W reversal pattern for a confirmation..! FREE M/W Course and Hyper Advanced Courses @ Forexia.net Follow our IG for daily analysis and education! @ForexiaNet LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— SimpleFX Allows you to trade without the need to verify your account! Check it out -- https://simplefx.com/n/_6362 —————————————————————— DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
FOREX - MID WEEK REVERSALS AND TRAP FRIDAYS
 
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----------------------------------- Community Links ----------------------------------- Website- http://Forexia.net ----------------------------------- Group Chat- http://forexcommunity.online ----------------------------------- Free FX Signals- http://t.me/forexia ----------------------------------- LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— SimpleFX Allows you to trade without the need to verify your account! Check it out - https://simplefx.com/n/_6362 DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
Easily Trade Forex High Impact News Events
 
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Trade High Impact events based on market structure. ----------------------------------- Community Links ----------------------------------- Website- http://Forexia.net ----------------------------------- Group Chat- http://forexcommunity.online ----------------------------------- Free FX Signals- http://t.me/forexia ----------------------------------- LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
Finders Fees and the Consequences for Violations
 
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Finders Fees and the Consequences for Violations- The SEC is authorized to seek civil penalties and injunctions for violations of the broker-dealer registration requirements. Egregious violations can be referred to the attorney general or Department of Justice for criminal prosecution. In addition to potential regulatory problems, using an unregistered person who does not qualify for either the statutory or another exemption to assist with the sale of securities may create a right of rescission in favor of the purchasers of those securities. That is a fancy way of saying they may ask for and receive their money back. Section 29(b) of the Exchange Act, provides in pertinent part: Every contract made in violation of any provision of this title or of any rule or regulation thereunder… the performance of which involves the violation of, or the continuance of any relationship or practice in violation of, any provision of this title or any rule or regulation thereunder, shall be void (1) as regards the rights of any person who, in violation of any such provision, rule or regulation, shall have made or engaged in the performance of any such contract… In addition to providing a defense by the issuing company to paying the unlicensed person, the language can be interpreted as voiding the contract for the sale of the securities to investors introduced by the finder. The SEC interprets its rules and regulations very broadly, and so do the courts and state regulators. Under federal law the rescission right can be exercised until the later of three years from the date of issuance of the securities or one year from the date of discovery of the violation. Accordingly, for a period of at least three years, an issuer that has utilized an unlicensed finder could have a contingent liability on their books and as a disclosure item. The existence of this liability can deter potential investors and underwriters and create issues in any going public transaction. In addition, SEC laws specifically require the disclosure of compensation and fees paid in connection with a capital raise. A failure to make such disclosure and to make it clearly and concisely is considered fraud under Section 10b-5 of the Securities Act of 1933. Fraud claims are generally brought against the issuing company and its participating officers and directors. Further, most underwriters and serious investors require legal opinion letters at closing, in which the attorney for the company opines that all previously issued securities were issued legally and in accordance with state and federal securities laws and regulations. Obviously an attorney will not be able to issue such an opinion following the use of an unlicensed or non-exempted person. In addition to the legal ramifications themselves and even with full disclosure and the time for liability having passed, broker-dealers and underwriters may shy away from engaging in business transactions with an issuer with a history of overlooking or circumventing securities laws. Historically, it was the person who had acted in an unlicensed capacity who faced the greatest regulatory liability; however, in the past ten years that has changed. The SEC now prosecutes issuers under Section 20(e) for aiding and abetting violations. The SEC has found it more effective and a better deterrent to prosecute the issuing company than an unlicensed person who is here today and gone tomorrow. The payment of finders’ fees is a complex topic requiring careful legal analysis on a case-by-case and state-by-state basis. No agreements for the payment or receipt of such fees should be entered into or performed without seeking the advice of competent legal counsel. I am a strong advocate for a regulatory framework that includes (i) limits on the total amount finders can introduce in a 12-month period; (ii) antifraud and basic disclosure requirements that match issuer responsibilities under registration exemptions; and (iii) bad-actor prohibitions and disclosures which also match issuer requirements under registration exemptions. I would even advocate for a potential general securities industry exam for individuals as a precondition to acting as a finder, without related licensing requirements. For example, FINRA, together with the SEC Division of Trading and Markets, could fashion an exam similar to the new FINRA Securities Industry Essentials Exam. #LegalAndComplianceLLC
Initial Coin Offering (ICO) Security vs Utility Issuance Vincent Molinari - CEO of Liquid M. Capital
 
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http://www.liquidmarketsgroup.com/ Recorded LIVE at the New York Stock Exchange. SCN Corporate Connect's Jane Kings sits down with Vincent Molinari - CEO of Liquid M. Capital, to discuss cryptocurrency and ICO's. Contact Mr. Molinari at [email protected] Liquid M Capital, LLC, is a financial technology company and broker dealer registered with the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) Liquid M Capital is the operators of an alternative trading system (“ATS”) that plans to use Blockchain Technology as part of the operation of the ATS. Liquid M Capital is able to facilitate the primary issuance of ICOs as a securities. The approval was a result of Liquid Markets Group’s (the parent of Liquid M Capital) advocacy and petition for rule change to the SEC in late 2015 to amend regulation ATS for unregistered securities. Liquid M Capital has achieved an approval set for a robust alternative trading system, which can transact in the full stack of unregistered and private securities. Alongside their ATS approval, Liquid M Capital was granted a Quotation Bureau which permits the publishing of real-time mark-to-market quotations of private unregistered securities. In addition, the Quotation Bureau has the ability to take indications of interest for securities purchase and sale on a 24/7 basis.
The SEC Advisory Committee on Small and Emerging Companies Recommendations on Finder’s Fees
 
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The SEC Advisory Committee on Small and Emerging Companies Recommendations on Finder’s Fees- Today is the first in a LawCast series talking finders fees. As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals that assist companies in fundraising and related services. I have previously discussed the no-action-letter-based exemption for M&A brokers, the exemptions for websites restricted to accredited investors and for crowdfunding portals as part of the JOBS Act and the statutory exemption from the broker-dealer registration requirements found in Securities Exchange Act Rule 3a4-1, including for officers, directors and key employees of an issuer. I have also previously published a blog on the American Bar Association’s recommendations for the codification of an exemption from the broker-dealer registration requirements for private placement finders. A related topic with a parallel analysis is the use of finders for investors and investor groups, an activity which has become prevalent in today’s marketplace. In that case the investor group utilizes the services of a finder to solicit issuers to sell securities (generally convertible notes) to the investment group. These finders may also solicit current shareholders or convertible note holders to sell such holdings to a new investor or investor group. Most if not all small and emerging companies are in need of capital but are often too small or premature in their business development to attract the assistance of a banker or broker-dealer. In addition to regulatory and liability concerns, the amount of a capital raise by small and emerging companies is often small (less than $5 million) and accordingly, the potential commission for a broker-dealer is limited as compared to the time and risk associated with the transaction. Most small and middle market bankers have base-level criteria for acting as a placement agent in a deal, which includes the minimum amount of commission they would need to collect to become engaged. In addition, placement agents have liability for the representations of the issuing company and fiduciary obligations to investors. As a result of the need for capital and need for assistance in raising the capital, together with the inability to attract licensed broker-dealer assistance, a sort of black market industry has developed, and it is a large industry. Neither the SEC, FINRA or state regulators have the resources to police this prevalent industry of finders. The fact is that there are thousands of unlicensed finders that operate openly, and even advertise their services, making it impossible for practitioners to convince small issuers that they should not utilize the services of these groups. As the saying goes, if everyone is doing it and doing it openly, it must be okay – but it is not okay. I would recommend a regulatory framework that includes (i) limits on the total amount finders can introduce in a 12-month period; (ii) antifraud and basic disclosure requirements that match issuer responsibilities under registration exemptions; and (iii) bad-actor prohibitions and disclosures which also match issuer requirements under registration exemptions.
Templum and Liquid M Capital to Launch Regulated Platform for Initial Coin Offerings
 
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http://www.tradetemplum.com/ NEW YORK, Oct. 4, 2017 /PRNewswire/ -- Templum, LLC, and its affiliated broker dealer Liquid M Capital, LLC, announced today a strategic partnership to launch a digital asset platform, known as Templum, offering both primary issuance of Initial Coin Offerings ("ICOs") and the secondary trading of both registered and unregistered digital assets as securities through an Alternative Trading System ("ATS"). Templum's strategic partnership with Liquid M Capital will allow it to utilize Liquid M Capital to create a turn-key solution for the initial issuance and secondary trading of ICOs as unregistered private securities. Templum's proprietary technology and intellectual property combined with Liquid M Capital's ATS will provide ICO investors with the first of its kind platform for the sale and secondary trading of digital tokens. ICOs are increasingly popular as an efficient and innovative way of raising capital. ICOs have raised approximately $2.2 billion to date in 2017, compared to $100 million for all of 2016, according to CoinSchedule.com. While experiencing tremendous growth, the ICO market has operated independently of jurisdictional securities laws. However, the U.S. Securities and Exchange Commission ("SEC") released an investigative report on July 25, 2017, regarding DAO tokens that concluded that their sale and trading was in violation of U.S. securities laws. The SEC further concluded that offers and sales of digital assets by "virtual" organizations in the U.S. are subject to the requirements of the federal securities laws. "Templum's model is designed to build upon ICO innovation by adhering to existing regulations to add the essential element of investor protection," said Chris Pallotta, founder and chief executive officer, Templum. "By doing so, we hope to increase widespread acceptance of ICOs that will attract more capital interest in innovative, growth-oriented companies and result in the overall growth of the global digital asset market. We believe that once our platform is fully established it will become the primary destination for transacting in digital assets worldwide." "We've long advocated for a strong digital asset ecosystem for both issuers and investors, and sought to preserve the best elements of the ICO community," said Vince Molinari, chief executive officer, Liquid M Capital. "With the DAO report, we can reasonably conclude that most digital assets are likely to be treated as securities by U.S. regulators. Templum will meet the need for compliant ICOs and secondary trading liquidity in a single destination." About Templum, LLC Templum, LLC operates at the intersection of blockchain and digital assets in a manner that facilitates transparent access to capital with a focus on investor protection. Our principals have extensive experience in the blockchain space helping shape the innovative technology into a viable, scalable industry. By leveraging this expertise, Templum intends to bring new technological advances to the capital markets, specifically through ICOs, with the aim to open new sources of capital for innovative, growth companies and provide those capital sources with enhanced investor protections and secondary liquidity opportunities in a fully regulated environment. For more information, visit tradetemplum.com. About Liquid M Capital Liquid M Capital, LLC, is a financial technology company and broker dealer registered with the SEC and the Financial Industry Regulatory Authority ("FINRA"). Liquid M Capital is the operator of an alternative trading system ("ATS") that intends to use Blockchain technology as part of the operation of its ATS. Liquid M Capital also operates a Quotation Bureau, which permits the publishing of real-time quotations of private unregistered securities. Liquid Markets Group's (the parent of Liquid M Capital) has been an advocate for the effective regulation of digital assets and filed a petition for rulemaking with the SEC in late 2017 to issue a concept release and to propose rules for the regulation of digital assets. Originally New Release at: http://www.prnewswire.com/news-releases/templum-and-liquid-m-capital-to-launch-regulated-platform-for-initial-coin-offerings-300530885.html
$500+ in 1 min Trading Forex Live - $1,500 to $30,000 in 1 Day!
 
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This is the final video of our FREE M/W COURSE available @ https://forexia.net/course/free-m-w/ If you have not yet taken our free course and you enjoy our content you are missing out!! You will surely regret not taking this course, it has the potential to change your life with only 3 hours of time to invest.. oh and did I mention ITS FREE!!! Verified MyFxBook Link - https://www.myfxbook.com/members/Dylanshilts/dylan-forexia/2522551 Forex Investors Alliance -The Most Advanced Forex Courses on the Internet. More Courses @ https://forexia.net/course-library/ Free FX Signals Channel @ t.me/forexia Follow us on Instagram for daily analysis and content! @ForexiaNet Join the most active Forex chat ever!! - forexcommuntiy.online What Broker do I use? JAFX! & LQDFX! LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
How to Apply to Vanuatu Forex/Binary Options License - (1/2)
 
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EMPIRE LEGAL (http://www.empire.legal) discussing Vanuatu's Securties Dealers/ Forex/Binary Options Licensing program (Vanuatu Forex License). If you have any questions feel free to contact us at [email protected] In this two part video series, we will guide you through the entire process of obtaining a Securities Dealers License ---(also known as a “Forex license') in Vanuatu. To begin with, Forex licenses are issued by the local regulatory commission, the VFSC. The Commission is the one stop authority for regulation on the island. The Licenses are issued under the Dealers in Securities Act and a single license enabling business to operate as a Broker-Dealer, a Forex / Binary Options exchange, and numerous other securities or investment based businesses including commodities trading. There are officially two types of licenses, a Principal’s license and a Representative License. A Principal’s license is the primary license which has to be acquired. A representative license on the other hand allows you to act as an agent of a Principal license holder. This also effectively means that you can appoint multiple agents allowing you to rapidly expand your business. The process of applying for a Forex License begins with the establishment of an international company on the island. The process is relatively straightforward and is generally completed within 2-3 days. In the next video we will take you ahead with the steps of acquiring the actual license. Click the link below: https://www.youtube.com/watch?v=rnkboPS_mgk
Views: 5164 EMPIRE LEGAL VIDEOS
Spotting Market Structure on Larger Timeframes
 
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Trade FX Naked! No Indicators or Scanners!! Learn to interpret market structure on large time frames to make massive gains! Community Links Website- http://Forexia.net ----------------------------------- Group Chat- http://forexcommunity.online ----------------------------------- Free FX Signals- http://t.me/forexia ----------------------------------- LQDFX Broker Offers: Max Leverage 1:500 Min Lot 0.01 Min Deposit $20 47 Currency Pairs No Re-Quotes! US Residents Allowed http://t.lqdfx.com/?t=ax0238 —————————————————————— DISCLAIMER: This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital.
How to Profit from Gaps in the Forex Market
 
44:20
For more check out Forexia.net . . . . . . . Free Signals and Info @ Telegram.me/forexia ​ This web page represents a legal document that serves as our Terms of Use and it governs the legal terms of our website, http://www.forexia.net, sub-domains, and any associated web-based and mobile applications (collectively, "Website"), as owned and operated by "Forex Investors Alliance" Capitalized terms, unless otherwise defined, have the meaning specified within the Definitions section below. This Terms of Use, along with our Privacy Policy, any mobile license agreement, and other posted guidelines within our Website, collectively "Legal Terms", constitute the entire and only agreement between you and Forex Investors Alliance, and supersede all other agreements, representations, warranties and understandings with respect to our Website and the subject matter contained herein. We may amend our Legal Terms at any time without specific notice to you. The latest copies of our Legal Terms will be posted on our Website, and you should review all Legal Terms prior to using our Website. After any revisions to our Legal Terms are posted, you agree to be bound to any such changes to them. Therefore, it is important for you to periodically review our Legal Terms to make sure you still agree to them. By accessing this web site, you are agreeing to be bound by these web site Terms and Conditions of Use, all applicable laws and regulations, and agree that you are responsible for compliance with any applicable local laws. If you do not agree with any of these terms, you are prohibited from using or accessing this site. The materials contained in this web site are protected by applicable copyright and trademark law. The last update to our Terms of Use was posted on July 25 2016. U.S. Government Required Disclaimer – Trading foreign exchange on margin carries a high level of risk and may not be suitable for all investors. The high degree of leverage can work against you as well as for you. Before deciding to invest in foreign exchange, you should carefully consider your investment objectives, level of experience, and risk appetite. The possibility exists that you could sustain a loss of some or all of your initial investment and therefore you should not invest money that you cannot afford to lose. You should be aware of all the risks associated with foreign exchange trading, and seek advice from an independent financial advisor if you have any doubts. The purchase, sale or advice regarding a currency can only be performed by a licensed Broker/Dealer; Neither us, nor our affiliates or associates involved in the production and maintenance of this service or this site, is a registered Broker/Dealer or Investment Advisor in any State or Federally-sanctioned jurisdiction. All purchasers of services or products referenced at this site are encouraged to consult with a licensed representative of their choice regarding any particular trade or trading strategy. No representation is being made that any account will or is likely to achieve profits or losses similar to those discussed on this website. The past performance of any trading system or methodology is not necessarily indicative of future results. You must clearly understand this: Information contained here and in the signal service is not an invitation to trade any specific investments. Trading requires risking money in pursuit of future gain. That is your decision. Do not risk any money you cannot afford to lose. This document does not take into account your own individual financial and personal circumstances. It is intended for educational purposes only and NOT as individual investment advice. Do not act on this without advice from your investment professional who will verify what is suitable for your particular needs and circumstances. Failure to seek detailed professional, personally tailored advice prior to acting could lead you to acting contrary to your own best interests and could lead to losses of capital. *CFTC RULE 4.41 – HYPOTHETICAL OR SIMULATED PERFORMANCE RESULTS HAVE CERTAIN LIMITATIONS. UNLIKE AN ACTUAL PERFORMANCE RECORD, SIMULATED RESULTS DO NOT REPRESENT ACTUAL TRADING. IN ADDITION, SINCE THE TRADES HAVE NOT BEEN EXECUTED, THE RESULTS MAY HAVE UNDER-OR-OVER COMPENSATED FOR THE IMPACT OF ANY OF THE CERTAIN MARKET FACTORS, SUCH AS LACK OF LIQUIDITY. SIMULATED TRADING PROGRAMS IN GENERAL ARE ALSO SUBJECT TO THE FACT THAT THEY ARE DESIGNED WITH THE BENEFIT OF HINDSIGHT. NO REPRESENTATION IS BEING MADE THAT ANY ACCOUNT WILL OR IS LIKELY TO ACHIEVE PROFIT OR LOSSES SIMILAR TO THOSE SHOWN.
The Truth about Auto Brokers | myHopscotch | How To Buy A Car
 
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If you are considering using an auto broker to help with your next car purchase, watch this 1st! Ali Omoomy, CEO & Founder of MyHopscotch.com tells all when it comes to car buying. With myHopscotch, we are car buying experts on your side. We love the auto Industry, but we also understand that the car buying experience is broken and that today’s car buyers deserve to be treated better. Treated with respect and dignity, in an open and honest setting. That’s where we come in. There is no question that purchasing a new car is a mixed bag of emotions that swing between anticipation and anxiety. MyHopscotch’s sole purpose is to eliminate the negative car buying experience from what should be an otherwise exciting time. Any car brand, any make, any model, new or pre-owned, anywhere. We’ll significantly cut the overall cost of your purchase, and replace stress and anxiety with empowerment and pleasure so you can finally enjoy every step of car buying, as you should. We negotiate a better deal for you than typical car-buying services and car brokers because we work for you, not for the car dealership. The dealership we recommend is chosen for your convenience and for the best value we can get for you – not for relationships with dealers who give us kickbacks. We cannot change the way cars are sold, but we can change how they are bought. There is a movement afoot. Call it an end to exploiting car buyers, an end to manipulation, a close to unfair practices, or call it MyHopscotch. It doesn’t really matter what you call it, just as long as you do it. MyHopscotch.com provides the information and, when required, the guidance. You are the movement, and your action to choose knowledge is our mission. Visit MyHopscotch.com. We Negotiate. You Celebrate! Follow Us: Website: http://myhopscotch.com Twitter: @MyHopscotchAuto Facebook: https://www.facebook.com/MyHopscotchcom-1571170733165886/ Instagram: @myhopscotch_auto Linkedin: https://www.linkedin.com/company/myhopscotch-com
Views: 11162 myHopscotch

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