Tag Archives: Placement

An SEC Commissioner Hears and Heeds the Call to Rationalize the Private Placement Broker (“Finder”) Industry

As previously noted in this blog (see “Private Placement Brokers Await Attention by SEC” June 6, 2017) and in this firm’s sister blog (see “Private Placement Brokers Should be Legalized along with M&A Brokers” in the RIA Compliance Blog, Jan. … Continue reading

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Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, CA

March 2018- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers … Continue reading

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Belgium Modifies Royal Decree Regarding the Placement on the Market of Substances Manufactured at the Nanoscale, Requires Registration of Mixtures

Belgium published in the January 15, 2018, Official Gazette an amendment to the Royal Decree regarding the placement on the market of substances manufactured at the nanoscale.  Under the amendment, cosmetic products as defined by the July 2012 Belgian Royal … Continue reading

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BCSC grants limited relief from its new private placement disclosure form

As we discussed last September, this past August and earlier this week, private placements in British Columbia will soon be subject to expanded post-trade disclosure requirements. The requirements to be imposed on foreign issuers and Canadian private issuers were expected … Continue reading

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Advanced Placement (AP) Courses

Today TaxMama hears from Kevin in the TaxQuips Forum, with an interesting problem. "Many high school students are taking Advance Placement (AP) courses through an eligible educational institution as a means to earn college credits at an economical price. I … Continue reading

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