David Jenson

David Jenson

Stinson Leonard Street

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Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since the approval of FINRA Rule 5123 on June 7,...more

1/12/2015 - Annual Notices Broker-Dealer Due Diligence FINRA Offerings Private Placements Strategic Enforcement Plan

Broker-Dealer Due Diligence And FINRA Exam Priorities

FINRA Chairman and CEO Richard G. Ketchum gave a speech on April 9, 2013 as part of the National Compliance Outreach Program for Broker-Dealers....more

4/16/2013 - Broker-Dealer Compliance Due Diligence FINRA Private Placements

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