Law Blog Category: FINRA

Recommendations Of SEC Government-Business Forum On Small Business Capital Formation

In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Small Business Capital Formation, a forum I had the honor of attending and participating in. As required by the Small Business Investment Incentive Act of 1980, each year the SEC holds a forum focused Read the full article…

SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”

November 22, 2016 in CAB, FINRA, SEC

On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers” (“CABs”), which limit their business to corporate financing transactions. FINRA first published proposed rules on CABs in December 2015. My blog on the proposed rules can be read HERE. In March and again in June 2016, Read the full article…

FinCEN Updates Due Diligence Rules

September 06, 2016 in Due Diligence, FINRA, FINRA Compliance

On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring financing institutions, including brokerage firms, to adopt additional anti-money laundering (AML) procedures that include specific due diligence and ongoing monitoring requirements related to customer risk profiles and customer information.  In addition, the new rules require Read the full article…

NASDAQ Listing Requirements

House Passes More Securities Legislation

FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers”

SEC Advisory Committee Recommendations Related To Finders

Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger

SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

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