FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
As summarized below, FINRA is currently seeking comment on proposed [...]
24
04, 2017
24
02, 2017
FINRA Rule 2232 – Customer Confirmations
As summarized below, the SEC has recently approved amendments to [...]
22
02, 2017
FINRA Requests Comment on Rules Governing Communications with the Public
FINRA recently published a Regulatory Notice to announce that it [...]
9
01, 2017
Broker-Dealers: Mergers, Acquisitions, & Successions
In today’s ever morphing environment, business restructures are quite common. [...]
5
01, 2017
Amendments to FINRA Rule 4554 related to Alternative Trading Systems
FINRA has recently proposed certain amendments to Rule 4554 (Alternative [...]
18
11, 2016
Quotation System for OTC Equity Securities
FINRA is soliciting comment on a proposal to provide for [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
28
10, 2016
Automatic Lock-In to ADF Disabled
Firms that use the Alternative Display Facility (ADF) to report [...]
27
10, 2016
Financial Exploitation of Specified Adults
FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]