Law Blog Category: FINRA

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

The ECOS Matter; When Is A Reverse Split Effective?

FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Crowdfunding Using Intrastate Offerings and Rule 147 – Is Florida Next?

SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Proposed Crowdfunding Rules – Part III

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