When individual investors engage in options account trading, the potential for monetary gain is there, but also risk of financial loss. Because options trading can be more complex than some other kinds of investment, retail (individual) investors may elect to rely on...
Month: September 2021
read more
Would a private placement be a good option for raising capital for your business?
Of course, many new businesses incorporate, and private companies go public by raising capital through public offerings of equity shares in their corporations – usually of stock. However, while going public may be the right decision for many businesses, federal...
FINRA gives member firms a reminder of their duty to supervise vendors
Across the country, a variety of commercial, government and nonprofit entities regularly outsource tasks to third parties. Whether to cut the costs of having employees do the work or to subscribe to the idea that cheaper is always better, when broker-dealer firms...