LEXYOM LAW LLP

Introduction What is Regulation D (RegD)? Regulation D, commonly referred to as RegD, is a set of rules enacted by the Securities and...

Introduction What is Regulation A (RegA)? Regulation A, often referred to as RegA, is a securities regulation that provides an exemption...

Introduction The Securities and Exchange Commission (SEC) is a regulatory agency tasked with protecting investors and maintaining fair,...

Introduction The Securities and Exchange Commission (SEC) plays a crucial role in regulating the securities industry and protecting...

Introduction What are A Book and B Book Firms? A Book and B Book are terms used in the financial industry to categorize different types...

Introduction Understanding Audits and Inspections Audits and regulatory inspections are critical processes conducted by regulatory...

Introduction Proprietary trading firms engage in buying and selling financial instruments, such as stocks, bonds, options, and...

Introduction What is a Brokerage Firm? A brokerage firm, also known as a brokerage house or brokerage, is a financial institution that...

Introduction A brokerage firm is a financial institution that facilitates buying and selling securities on behalf of clients. These...

Introduction Initial Coin Offerings (ICOs) have revolutionized the way startups raise capital, offering a decentralized alternative to...

Introduction Brokerage firm disclosures refer to the information that brokerage firms are required to provide to their clients regarding...

Introduction Understanding Proprietary Trading Proprietary trading firms engage in buying and selling financial instruments, such as...