30 11, 2022

FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms

By |2022-11-30T15:15:33-05:00November 30, 2022|Broker-Dealer, Continuing Membership Application, Digital Assets, FINRA, Private Placements, SEC|

This is a summary of a recent FINRA podcast on Membership Application Program.

19 08, 2022

Private Placement Best Practices from FINRA Disciplinary Actions

By |2022-08-19T14:56:33-04:00August 19, 2022|Broker-Dealer, Fines, FINRA, Private Placements, Rules and Regulations|

FINRA (Financial Industry Regulatory Authority) publishes a monthly review of [...]

2 02, 2021

SEC Rule to Simplify Exempt Offering Framework for Small Firms

By |2021-02-02T10:22:16-05:00February 2, 2021|Broker-Dealer, Crowdfunding, Filing Requirements, FINRA, Private Placements, Regulation CF, Rules and Regulations, Rules and Regulations, SEC|

On Nov. 2, 2020, the U.S. Securities and Exchange Commission [...]

20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123

By |2021-01-20T13:52:43-05:00January 20, 2021|Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision|

On October 28, 2020, FINRA filed a proposed rule change [...]

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