Rule Change Archives - Master Compliance

23 07, 2021

FINRA’s Change to Rules 5122 and 5123
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FINRA’s Change to Rules 5122 and 5123
Broker-Dealer, Communications, Filing Requirements, FINRA, Private Placements, Rules and Regulations

FINRA’s Change to Rules 5122 and 5123

By admin|2021-07-23T12:17:41-04:00July 23, 2021|Broker-Dealer, Communications, Filing Requirements, FINRA, Private Placements, Rules and Regulations|

On July 15, 2021, FINRA released Regulatory Notice 21-26 announcing [...]

1 02, 2021

SEC Rule to Allow for the Use Electronic Signatures
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SEC Rule to Allow for the Use Electronic Signatures
Broker-Dealer, Cybersecurity, EDGAR, Filing Requirements, FINRA, Registered Investment Advisers, Rules and Regulations, SEC

SEC Rule to Allow for the Use Electronic Signatures

By admin|2021-02-01T09:28:46-05:00February 1, 2021|Broker-Dealer, Cybersecurity, EDGAR, Filing Requirements, FINRA, Registered Investment Advisers, Rules and Regulations, SEC|

The SEC recently adopted a rule change to allow for [...]

20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123
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FINRA’s Proposed Change to Rules 5122 and 5123
Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision

FINRA’s Proposed Change to Rules 5122 and 5123

By admin|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 [...]