Law Blog Tag: FINRA Rules

FINRA Proposes Amendments To The Corporate Financing Rules

On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules related to corporate financing and capital formation. In particular, the regulatory notices propose changes to Rule 5110, which regulates underwriting compensation and prohibits unfair arrangements in connection with the public offerings of securities; Rules 2241 and 2242, 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…

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

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