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Tag: private placements

Blog, Securities Fraud Articles

August 3, 2011

National Securities Corporation fined by FINRA

National Securities Corporation (CRD #7569, Seattle, Washington) and Matthew G. Portes (CRD #4995542, Registered Principal, Chicago,...

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Blog, Securities Fraud Articles

January 17, 2011

Proposed Amendment to FINRA Rule 5122

FINRA is requesting comment on a proposal to amend FINRA Rule 5122, which requires, subject to certain exemptions, disclosure in the...

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