The Financial Industry Regulatory Authority (FINRA) has issued Regulatory Notice 13-18 (Regulatory Notice) to provide guidance to member firms on communications with the public concerning real estate investment programs that...more
- DPPs FINRA Real Estate Investments REIT
The Financial Industry Regulatory Authority issued frequently asked questions (FAQs) in connection with FINRA firms being required to submit new data elements for Electronic Blue Sheets (EBS) to correspond with the...more
- Electronic Blue Sheets FINRA Reporting Requirements Securities Exchange Act
On January 11, the Financial Industry Regulatory Authority (FINRA) issued its annual letter outlining FINRA’s regulatory and examination priorities for 2013 to FINRA-registered firms. The letter is meant to highlight to...more
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