Law Blog Category: FINRA

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

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

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