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
FINRA has released a set of FAQs relating to its review of public offerings filed with FINRA’s Public Offering System, which replaced COBRADesk as FINRA’s online filing system in June of 2012....more
2/4/2013 - FINRA Public Offerings Right of FIrst Refusal
On December 3, 2012, FINRA released a set of FAQs relating to new Rule 5123, which went into effect on December 3 and requires FINRA members to file with FINRA copies of the private placement memorandum, term sheet, or other...more
12/10/2012 - Crowdfunding FINRA JOBS Act Private Investment Funds SEC Securities
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