Law Blog Category: FINRA

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

The New FINRA Broker Background Check Rule

March 24, 2015 in Broker-Dealer, FINRA, Uncategorized

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

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