The responsibilities of the U.S. Securities and Exchange Commission

By | November 1st, 2019|Categories: Investors|Tags: , , , , , |

Click here to read our post about the history and mission of the SEC. The SEC breaks down its responsibilities into five major categories on its website: “Interpret and enforce federal securities laws;” “Issue new rules and amend existing rules;” “Oversee the inspection of securities firms, brokers, investment advisers, and ratings agencies;” “Oversee the inspection [...]

A Few Minutes with FINRA: Small Firm Advisory Committee Recap

By | September 24th, 2018|Categories: FINRA, Investors|Tags: , , , , , , , |

The Small Firm Advisory Committee (“SFAC”) was formed in 1998. Currently, the SFAC chair is Wendy Lanton, of Lantern Investments. The purpose of the SFAC is to relay issues of interest and concern to the FINRA Board of Governors. Also, the SFAC reviews new and amended FINRA proposed rules and offers comments and guidance to [...]

Protect Your Oil and Gas Interests

By | March 5th, 2013|Categories: Investors, Oil and Gas|Tags: , , |

Various limited liability entities can protect your oil and gas interests. For instance, Limited partnerships or limited liability companies can protect your oil and gas interests by contractually limiting the management and succession principles by use of the partnership agreements. Interest holders can detail what duties are to be done by the manager or general [...]