The Payment Of Finders’ Fees- An Ongoing Discussion
Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...
Home Archive by Category "FINRA" (Page 2)
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...
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FINRA Proposes New Registration And Examination Rules
On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg...
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Recommendations Of SEC Government-Business Forum On Small Business Capital Formation
In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Smal...
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SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”
On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...
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FinCEN Updates Due Diligence Rules
On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin...
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