The SEC Small Business Forum and should we fear FINRA?

In this episode we talk about the SEC Small Business Forum, whether portals will be able to charge transaction based fees, and finally getting to park in the UVA Darden school parking deck (a dream of mine).

If you would like to read more about just what a Broker-Dealer is there is an excellent (though long) resource here (pdf) from Robert Colby and Lanny Schwartz.

As a side note: while getting a regular production schedule is top of my list of new year’s resolutions, but things will be spotty until then.