Due DiligenceFINRAFINRA Compliance FinCEN Updates Due Diligence Rules Laura Anthony, Esq.September 6, 2016 On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin... 050100
BlockchainBlockchain TechnologyDistributed Ledger TechnologyDLTFINRAFINRA ComplianceFINRA Rules FINRA Examines Fintech Including Blockchain Laura Anthony, Esq.September 11, 2018 On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR... 066400
FINRAFINRA ComplianceFINRA Rules FINRA Issues New Guidance On Communications With The Public, Including Social Media Laura Anthony, Esq.August 22, 2017 In April 2017 FINRA issued Regulatory Notice 17-18 providing additional guidance on the use of social media and digital communicatio... 088400
FINRAFINRA ComplianceFINRA RulesFINRA360 FINRA Proposes Amendments To The Corporate Financing Rules Laura Anthony, Esq.June 6, 2017 June 6, 2017 On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules... 031300
15c2-11 ApplicationFINRAFINRA ComplianceFINRA RulesOTCBBSEC FINRA Proposes Expansion Of The OTCBB Laura Anthony, Esq.August 29, 2017 In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service... 040500
Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 030300
FINRAFINRA ComplianceSEC FINRA Proposes New Registration And Examination Rules Laura Anthony, Esq.May 30, 2017 July 13, 2017 On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg... 042800
FINRAFINRA ComplianceOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsUncategorized FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets Laura Anthony, Esq.October 28, 2014 032400