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Category Archives: compliance

SEC Small Business Capital Formation Annual Report 2021

Very insightful details on the capital formation frontier from Martha Legg Miller & U.S. Securities and Exchange Commission (SEC) team. Of particular interest is p33. & p67. 

Posted byadminDecember 10, 2021December 10, 2021Posted in33Act, compliance, fintech, IPO, PreIPO, regtech, SPAC

All in NYC Finds Cure

Interesting how a $3B class action lawsuit cures the China Virus.

Posted byjmar42September 9, 2020September 9, 2020Posted incompliance, fintech, regtechTags: chinavirus, classaction, covid19, kungflu, lawsuit, nyc, nyse

TCPA Defendant Proof of Consent

https://youtu.be/15K1-U8SVz0

Posted byJeffNovember 19, 2019February 10, 2020Posted incompliance, regtechTags: crm, ecommerce, fcc, proof of consent, salesforce, securelead, shopify, sms, tcpa, twilio, zoho

Rack Room Shoe TCPA Violation

Posted byJeffNovember 13, 2019February 10, 2020Posted incompliance, fintech, insurtech, regtechTags: compliance, fcc, lititgation, robo call, robo dialing, tcpa
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