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
5/15/2013
- DPPs FINRA Real Estate Investments REIT
The Financial Industry Regulatory Authority announced that it will waive continuing membership application (CMA) fees when a CMA proposes minor changes that do not require substantial review by FINRA staff, such as certain...more
3/19/2013
- Fees FINRA
The Financial Industry Regulatory Authority adopted rule amendments in furtherance of the joint industry Regulation NMS Plan to Address Extraordinary Market Volatility (Plan). Pursuant to the Plan, FINRA amended its rules to,...more
3/19/2013
- FINRA NMS Plan
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
1/21/2013
- FINRA
In May 2012, the Financial Industry Regulatory Authority provided guidance on Rule 2111 (Suitability) by providing answers to frequently asked questions (FAQs). Answers that supersede some of these FAQs and additional FAQs...more
12/28/2012
- Broker-Dealer FINRA Investment Adviser Suitability Rule
In the September 14, 2012, edition of Corporate and Financial Weekly Digest, the firm published a summary of the Financial Industry Regulatory Authority’s Rule 5123 regarding private placement of securities...more
12/27/2012
- FINRA Private Investment Funds
