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FAQs Securities Blogs:

U.S. and UK Launch Joint Alliance to Dismantle Crypto Scam Centers

The U.S. Attorney's Office for the District of Columbia, the Crown Prosecution Service of England and Wales, and the UK...

Investment Newsletter Fraud: SEC Warns of Hidden Risks to Investors

The SEC's Office of Investor Education and Advocacy has formally warned that some investment newsletters are used to carry out...

IRS Ends Uniform Syndicated Conservation Easement Settlements

Thousands of investors who purchased syndicated conservation easement deals through brokers or financial advisers are now facing a more uncertain...

Jim Walesa Barred by FINRA as Osaic Settlements Exceed $26 Million

Osaic, the large independent broker-dealer network formerly known as Advisor Group, has now paid more than $26.3 million to resolve...

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    Industry News & Information

    October 26, 2026

    What the GUARD Act Means for Pig Butchering Victims

    The GUARD Act, formally titled the Guarding Unprotected Aging Retirees from Deception Act, is a proposed federal bill (H.R. 2978)...
    October 24, 2026

    Rule 506(b) Guide: Regulation D Private Placement Rules

    Rule 506(b) is one of the most widely used securities exemptions in the United States, allowing companies to raise capital...
    October 23, 2026

    What FINRA Is Considering: Regulatory Notice 26-06

    Earlier this year, on March 2, 2026, FINRA published Regulatory Notice 26-06, asking for public comment on a range of...
    October 22, 2026

    David Dahill Faces Allegations of Unsuitable Investment Recommendations

    David P. Dahill, the chief executive of Realized Financial, Inc., has been named in three customer complaints since 2024, each...
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