SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
Home Posts Tagged "FINRA"
OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules
January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...
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FINRA Proposes Expansion Of The OTCBB
In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...
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FINRA Issues New Guidance On Communications With The Public, Including Social Media
In April 2017 FINRA issued Regulatory Notice 17-18 providing additional guidance on the use of social media and digital communicatio...
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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...
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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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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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