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... 029000
CABFINRASEC SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.November 22, 2016 On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”... 025900
Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 027800
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 041100
FINRAFINRA ComplianceReverse SplitRule 10b-17Rule 6490Uncategorized SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions Laura Anthony, Esq.March 10, 2015 00.9K00