Market76 & RegMaven Announce Partnership

LONDONDERRY, NH:  RegMaven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms announce the partnership with Market76. Click here for more information.

SEC Votes To Lift Ban On General Solicitation For Private Offerings

The Securities and Exchange Commission recently voted to abolish the prohibition on general solicitation and general advertising for private offerings and sales solely to “accredited investors” conducted pursuant to new Rule 506(c) of Regulation D under the Securities Act of 1933, as amended (the “Securities Act”), and as directed by the Jumpstart Our Business Startups Act (the “JOBS Act”). The SEC also approved rules designed to disqualify “felons and other ‘bad actors’” from participating in certain securities offerings as directed by the Dodd-Frank Act.
The final rule amendments are scheduled to become effective 60 days after publication in the Federal Register and following a 60-day public comment period. Click here for more information.

FINRA Branch Exam Program

RegMaven Launches FINRA Branch Exam Program

Londonderry, New Hampshire: RegMaven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms, announces the launch of their FINRA Branch Exam Program.

“FINRA routine exams have expanded greatly over the past few years. Last year, examinations of the firm’s branch office network were a review of internal audits – this year, the exam requirement includes on-site visits, particularly the high risk offices,” said Dennis McCarron, CEO and co-founder. McCarron added, “these on-site exams are far more encompassing than the CCO or Branch Manager may be anticipating”. RegMaven designs tailored programs for each client engagement to fit the firm’s risks, resources and business.Click here for more information.

RegMaven Launches

Securities Compliance and Business Consulting

Londonderry, New Hampshire:  RegMaven, a compliance and business consulting firm serving FINRA-registered broker-dealer firms as well as SEC and state-registered investment advisor (RIA) firms is launching their Compliance Consulting services. Each client is presented with a custom Compliance Program fit to their risk profile, current resources and business aspirations.

“Our approach to working with CCOs, CEOs and firm Principals is unique.  We take a holistic view of the firm’s business and build the compliance program to support the firm’s long-term vision”, says Dennis McCarron, CEO and co-founder.  RegMaven provides clients access to compliance consulting, regulatory exams and testing along with business consulting. Click here for more information.