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A broker-dealer settled FINRA charges for failing to compute accurately its aggregate indebtedness and net capital, failing to file accurate reports as a result and failing to respond to FINRA requests for information.

SEC Deputy Director of the Office of the Advocate for Small Business Capital Formation Sebastian Gomez Abero touted the "expanded capital raising pathways" under the 2012 JOBS Act and urged practitioners to utilize resources now available in the SEC's consolidated Capital Raising Hub.