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FINRA
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SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities
On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for...
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CFIRA Submits Crowdfunding Letter to SEC
The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of...
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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New FINRA Requirements for Corporate Actions Require More Thorough Documentation on Behalf of Issuers
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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SEC Grapples With Crowdfunding Rulemaking
On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed...
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