Law Blog Tag: Section 304

SEC Proposed Executive Compensation Clawback Rules

August 03, 2015 in C&DI, Clawback Rules, SEC, Securities Attorney, Securities Attorneys, Securities Law Firm, Uncategorized

FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking

July 10, 2012 in Broker-Dealer, Crowdfunding, FINRA, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Section 304, Securities Attorneys

The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing proposed rules related to the Crowdfunding Act. The scope of the FINRA rules will be written specifically for registered funding portals and although they will need to be complementary to the SEC rules, it is intended that they not be duplicative. FINRA has set August 31, 2012 as the deadline for receiving comments.